Results 1 to 5 of 28

Regulators’ approach to enforcement - an international comparison

Hong Kong, United Kingdom, USA - July 15 2019 Litigation and dispute management On 9 July 2019, the United Kingdom’s Financial Conduct Authority (FCA) published its latest Enforcement annual…

Adam Berry, Jake McQuitty, John Siu, Duncan Watt, Lewis S. Wiener, Manwa Yip

DP16/4: How will the FCA apply SMF 18 (Other Overall Responsibilities) to the Legal Function ?

United Kingdom - October 12 2016 The FCA's rules require that a senior manager must have overall responsibility for every activity, business area or management function in a relevant…

Simon Collins, Andrew Henderson, David Saunders

Applying conduct rules to all Non-Executive Directors in the Banking and Insurance sectors

United Kingdom - October 11 2016 The FCA and PRA have issued a number of consultation, discussion and policy statements on SM&CR related matters. We have summarised the consultation…

Simon Collins, Andrew Henderson, David Saunders

The Duty of Responsibility for Senior Managers: Converting Form into Substance

United Kingdom - October 10 2016 On 3 October 2016, the FCA issued consultation paper CP16/26 on guidance on the "duty of responsibility" (the Duty) on Senior Managers (SMF Managers)…

Simon Collins, Andrew Henderson, David Saunders, Michaela Walker

The FCA’s BREXIT statement: An incomplete explanation of the short term legal impact on UK financial services?

European Union, United Kingdom - June 28 2016 On the morning of the Referendum result, the Financial Conduct Authority issued a statement on BREXIT. It included the following: "Much financial…

Andrew Henderson, Pamela Thompson