Feb 09, 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...
Sep 28, 2023 Financial services regulators in the UK publish consultation papers to boost diversity and inclusion across the financial services sector By Nikunj Kiri Martyn Hopper Alison Wilson Alexandra Beidas +1 more... Show less In consultation papers published on 25 September 2023, the UK’s financial regulators have set out proposals to boost diversity and...
Jun 15, 2023 FCA suffers defeat in Julius Baer case - with important individual accountability implications By Nikunj Kiri Duncan Campbell You wouldn't know it from reading the FCA's statement, but the FCA has experienced a major loss in the Upper Tribunal (UT). The UT has...
May 09, 2023 BoE/PRA look to streamline enforcement processes and offer more clarity on financial penalties in new consultation paper By Nikunj Kiri Wesley Lalich Sandeep Challa Duncan Campbell +1 more... Show less The BoE/PRA has published an important Consultation Paper (“CP”) on its approach to enforcement and its enforcement / supervisory...
Dec 08, 2022 EU Commission proposes targeted changes to EU Market Abuse Regime By Nikunj Kiri Peter Bevan Sumit Indwar Premlata Fagan +1 more... Show less The European Commission has published a package of proposals in connection with its commitment to simplify EU listing rules. The package...
Feb 14, 2022 In 2022, prepare for more enforcement action - and more assertive supervisory interventions By Sara Cody Nikunj Kiri Duncan Campbell 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...
Dec 13, 2021 UK: FCA consults on a new Consumer Duty By Sara Cody Alison Wilson Nikunj Kiri The FCA has published its second consultation paper (the "CP") on its proposed Consumer Duty (the “Duty”). This deals with responses to...
Sep 09, 2021 Non-financial misconduct: clarity from the Upper Tribunal? By Nikunj Kiri Duncan Campbell It has long been recognised that some types of non-financial misconduct (for example criminal convictions relating to offences involving...