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Samantha Paul
Insights
Oct 16, 2023
Oct 16, 2023
Applying the FCA’s proposed new guidance on non-financial misconduct
Non-financial misconduct in financial services firms is back at the top of the agenda following the concurrent publication of the FCA’s Consultation Paper 20/23 (Diversity and inclusion in the…
Insights
Jul 28, 2023
Jul 28, 2023
FCA publishes its 2022/23 Annual Report and Enforcement data
The FCA released its 2022/23 Annual Report last week together with data on its key enforcement trends. We consider below some of the key takeaways.
Insights
Jul 16, 2021
Jul 16, 2021
The FCA’s new “game plan” – What do banks need to know about the FCA Business Plan for 2021/22?
Yesterday the FCA published its eagerly-awaited Business Plan for 2021/22 (the “Plan”), its publication having been delayed from April due to the pandemic and it being Nikhil Rathi’s first business…
Insights
Jul 08, 2021
Jul 08, 2021
UK regulators and Bank of England to pool considerable powers and resources to advance D&I
Yesterday’s joint Discussion Paper (DP21/2) published by the Bank of England, Prudential Regulation Authority (PRA) and Financial Conduct Authority (FCA, together “the regulators”) on “Diversity and…
Insights
May 20, 2021
May 20, 2021
FCA proposes new Consumer Duty – TCF with bigger teeth?
On 14 May 2021, the FCA published Consultation Paper CP21/13 outlining much-anticipated proposals relating to the standards expected of regulated firms to ensure the protection of retail consumers.…
Insights
Mar 25, 2021
Mar 25, 2021
What does the BEIS White Paper mean for audit enforcement?
The Government has published its long-awaited White Paper on the reform of the UK’s audit and corporate governance framework including a package of measures aimed at improving controls in the wake of…
Insights
Mar 24, 2021
Mar 24, 2021
Senior manager accountability – five steps to protect yourself
A week today, 31 March 2021, marks the deadline for the full implementation of the Senior Managers and Certification Regime (SM&CR) to solo-regulated firms. Five years since the SM&CR originally came…
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