Enforcement

On 20 March 2025, the International Organisation of Securities Commissions (IOSCO) launched a new alerts portal to help combat retail investment fraud. The new portal is called I-SCAN.  The alerts and warnings included on the portal are provided by IOSCO members on a voluntary basis. The contents of the alerts and warnings

The FCA has published a Final Notice imposing a fine of £99,200 on a CFD provider for failing to make transaction reports over a 6 month period.  We summarise below the key facts and potential impact for other firms who, in light of FCA expectations, may wish to consider proactively reviewing their own reporting and

On 11 November 2024, the Financial Conduct Authority (FCA) published a webpage setting out the outcome of its enforcement regulatory disclosure review. The review was carried out following a recommendation from the Upper Tribunal.

The FCA confirms that it has completed the review and made a number of changes to its disclosure processes

Speak up and other internal investigations are on the rise (see our article here) amid increasing scrutiny from the media, public, authorities and other stakeholders of how investigations are conducted. Indeed, in higher profile matters the way in which an investigation is conducted can receive as much attention as the underlying issues.

The recent