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Financial Services - News on Enforcement & Cases

United Kingdom - April 23 2018 A headline development last month was the publication of the Financial Conduct Authority's paper detailing its Approach to Enforcement. This had been...

Richard Powell, Arun Srivastava, Mark Simpson.


Financial Services - News on Enforcement & Cases

United Kingdom - March 26 2018 In an otherwise quiet month (February) for FCA Enforcement, the UK's conduct regulator imposed a fine of almost £2 million on Vanquis Bank for...

Richard Powell, Arun Srivastava, Mark Simpson.


Financial Services - News on Enforcement & Cases

United Kingdom - March 18 2018 In an otherwise quiet month (February) for FCA Enforcement, the UK's conduct regulator imposed a fine of almost £2 million on Vanquis Bank for...

Richard Powell, Arun Srivastava, Mark Simpson.


Financial Services - Enforcement News January 2018

United Kingdom - January 12 2018 Overall 2017 was a quieter year for enforcement (judged by published cases). The FCA imposed 13 fines in 2017 compared to 23 fines in 2016 and 40 in...

Richard Powell, Arun Srivastava, Mark Simpson.


No Leniency shown to first AIM Issuer fined by the FCA under the Market Abuse Regulation

United Kingdom - December 20 2017 The Financial Conduct Authority (FCA) has brought its first enforcement action under the EU Market Abuse Regulation (MAR), which has had direct...

Helen Bradley, Robert E. Adam, Laura Bentham, Roger I. James, Richard Powell, Arun Srivastava, Mark Simpson.