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Richard Powell Baker McKenzie

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FCA Imposes Remedies after Asset Management Market Study - How Should You Respond?

United Kingdom - May 17 2018 In April 2018 the Financial Conduct Authority announced a package of measures to boost competition in the asset management sector. These important...

Arun Srivastava, Mark Simpson.


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...

David McCarthy, 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...

David McCarthy, 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...

David McCarthy, 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...

David McCarthy, Arun Srivastava, Mark Simpson.