Investigations and enforcement

On Wednesday 12 June 2024, as part of our global ESG webinar series, please join us for the third instalment of this webinar series, as we expand on the greenwashing discussion held in the first webinar.

This webinar will feature a discussion from our NRF financial services enforcement team to provide a perspective on greenwashing

This is the second article in our series breaking down the steps that companies will need to take to put in place “reasonable procedures” to prevent fraud. Our first post, which focussed on how to conduct effective fraud risk assessments, can be found here.  

This comes ahead of the new UK failure to

Following on from our previous blog in relation to FCA CP24/2 (Our Enforcement Guide and publicising enforcement investigations – a new approach), the House of Lords Financial Services Regulation Committee has closed its call for evidence following the prorogation of Parliament on 24 May 2024. When committees are reappointed in the new Parliament following

Many companies are currently considering what steps they need to take in relation to the new UK failure to prevent fraud offence (which is expected to come into force later this year or in early 2025).

By way of recap, a company will be liable for failing to prevent fraud by its associated persons (e.g.

The FCA Consultation Paper CP24/2: Our Enforcement Guide and publicising enforcement investigations – a new approach continues to be a key market focus. The latest developments include:

(i) correspondence between the Treasury Sub-Committee on Financial Services Regulations and the FCA (preceding the FCA giving evidence to the Sub-Committee on 8 May 2024 in one its regular

On 25 April 2024, the Financial Conduct Authority (FCA) published a letter that it sent to the House of Lords Financial Services Regulation Committee (FSRC) regarding its proposed changes, set out in Consultation Paper CP24/2, to its approach to publicising enforcement investigations. The letter responds to the FSRC’s letter of 22

On 22 April 2024, the House of Lords Financial Services Regulation Committee published a letter to Nikhil Rathi, Chief Executive of the Financial Conduct Authority (FCA), regarding the FCA’s Consultation Paper CP24/2 on its approach to publicising enforcement decisions.

The FCA published CP24/2 on 27 February 2024 and is seeking feedback on its

The SFO has published its 5-year strategy document (the Strategy Document), highlighting a number of areas of focus, from international coordination with counterparts to capitalising on technology and incentivising their workforce.

This follows Director of the SFO, Nick Ephgrave’s, speech in February 2024 setting out key priorities (see our recent Investigations and Enforcement horizon

On Tuesday 16 April 2024, please join us for a webinar where our team from across EMEA will discuss the key recent and upcoming trends in financial crime legislation and regulatory enforcement in the EU, UK and Singapore.

This webinar will highlight important changes to anti-money laundering regulation and wider financial crime legislation in the

On Tuesday 9 April 2024, as part of our UK In-house legal forum training programme, we will be running a webinar on ESG and greenwashing in financial services. The session will look at recent UK regulatory developments regarding sustainability, including the FCA’s Sustainability Disclosure Requirements and investment labels regime, at how regulators are dealing with