Regulatory Wrap episode 56: FCA pivots on “name and shame”
In Regulatory Wrap for the week to March 21, Kathryn Fallah discusses the FCA’s decision to axe its controversial “name and shame” proposal.
Consumer Credit Directive: Navigating the new regulatory framework
Recently revised in 2023, the Consumer Credit Directive (CCD) now addresses contemporary challenges in the consumer credit sector, including digitalization and new financial products. But what are the compliance implications of the CCD 2023 Revision?
Regulatory Wrap Episode 43: The FCA’s “Kaizen” Approach
In Regulatory Wrap for the week to October 11, Jay Hampshire reflects on the FCA’s approach to enforcement as detailed in a recent speech.
Regulatory Wrap Episode 38: Whistleblowing in the U.S. vs. U.K.
In Regulatory Wrap for the week to August 30, Jay Hampshire unpicks the difference in the U.S. and U.K. regulatory approach when it comes to whistleblowing.
Regulatory Wrap Episode 33: SEC Transparency Leaves No Room for Doubt
In Regulatory Wrap for the week to June 21, Jay Hampshire highlights the sequence of events that demonstrate SEC transparency and the resulting compliance expectations the regulator has of firms.
Regulatory Wrap Episode 28: The FCA’s Controversial Enforcement Approach
In Regulatory Wrap for the week to April 26, Jennie Clarke reviews the FCA’s proposed enforcement approach to identify firms under investigation from the outset.
Regulatory Wrap Episode 26: Regulators & Recordkeeping Rules
In Regulatory Wrap for the week to April 12, Rob Mason discusses the theme of transparency with financial regulators, including the SEC’s explanation about the trigger factors that lead to investigations.