29 Feb, 2024 FCA enforcement's great reset: "boil the kettle not the ocean" By Duncan Campbell Sara Cody FCA Enforcement co-heads Therese Chambers and Steve Smart have fired the starting gun on their long-awaited refresh of the FCA's...
26 Feb, 2024 Financial services interventions and enforcement: what fintechs and payments firms should expect in 2024 By Duncan Campbell Sara Cody In our recent report we reviewed last year's key developments in FCA and PRA interventions and enforcement activity and we identified key...
09 Feb, 2024 Financial services interventions and enforcement trends for 2024 By Nikunj Kiri Sara Cody Duncan Campbell In the next couple of months we'll see the FCA enforcement heads articulate their vision and direction for interventions and enforcement...
19 Jan, 2024 Feeling the pressure: the FCA is asking firms about non-financial misconduct and NDAs By Elizabeth Dowd Duncan Campbell The Treasury Committee this week in its “Sexism in the City” inquiry expressed concern that the industry is falling short on...
16 Jan, 2024 New SMCR fine: right-sizing controls to your business risk (and SMF delegations) By Joseph Richmond Duncan Campbell Saurabh Gupta Bit by bit, enforcement actions are giving us more clarity on what “reasonable steps” means for senior managers. The latest news: the...
20 Dec, 2023 On Consumer Duty, some inspiration - and words of warning - for retail banks By Duncan Campbell The FCA has published findings of its multi-firm review of retail banks' Consumer Duty implementation. A broken record This review was on...
07 Dec, 2023 Get ready: Principles-based regulation is coming to (some) tech firms By Duncan Campbell Financial services firms are familiar with the UK financial services regulators' Principles-based regulation. And with the most optimal...
06 Dec, 2023 On Consumer Duty, keep being proactive: FCA By Duncan Campbell Over 6000 people beat down the door of the FCA's Consumer Duty webinar on 6 December 2023. So many that the FCA's systems were...