In 2022, prepare for more enforcement action - and more assertive supervisory interventions
2021 was a year of contrasts when it came to the FCA's and PRA's enforcement work.
On the one hand, the regulators rationalised their...
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UK: FCA consults on a new Consumer Duty
The FCA has published its second consultation paper (the "CP") on its proposed Consumer Duty (the “Duty”). This deals with responses to...
Non-financial misconduct: clarity from the Upper Tribunal?
It has long been recognised that some types of non-financial misconduct (for example criminal convictions relating to offences involving...
Claiming litigation privilege over an internal investigation report? There's so much to lose and it turns on so little
A recent High Court decision illustrates the vexed question of the application of legal professional privilege in the context on internal...
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