In a written response to a request from the Treasury Select Committee, the FCA has provided an update on its programme of work to address non‑financial misconduct (NFM), making it clear that the firm and its managers may also be held responsible in the event of bad behaviour anywhere in the ranks.
With
The Financial Conduct Authority (FCA) has introduced a new “Enforcement Investigations” page on its website providing a centralised list of investigations that the regulator has chosen to announce publicly. The list can be accessed via the FCA’s ‘News’ webpage by selecting the new filter “Enforcement investigations” (see here). For key takeaways for
Our latest briefing forms part of a series looking in detail at the SRA’s guidance for in-house teams, issued following a thematic review of the sector, recognising the growth and importance of the in-house role and the unique pressures to which in-house solicitors can be subject. The guidance covers six topics and does not introduce
In September 2025, the consumer advocacy group Which? submitted a super-complaint to the Financial Conduct Authority (FCA) setting out its concerns in relation to the poor outcomes it considers consumers are experiencing in the retail home insurance and retail travel insurance markets (the Complaint). On the basis of its research and investigations
Solicitors have a duty to report serious concerns or breaches of the Solicitors Regulation Authority (SRA) Codes of Conduct promptly. However, they also owe duties of confidentiality to their employer and communications to which they are party may be protected by legal professional privilege. As a result, it can be difficult to know
An as yet unnamed firm has become the latest entity to fail in seeking to judicially review a decision by the FCA (assuming no appeal) (judgment here). The decision being challenged is that the FCA should make an announcement naming the firm as being under investigation by the FCA. The case is particularly significant
On 21 October 2025, HM Treasury published a Consultation Response providing details of responses to its 2023 consultation on the reform of the anti-money laundering/ counter-terrorist financing (AML/CTF) supervision regime and confirming that the Government has decided that the Financial Conduct Authority (FCA) should become the single professional services supervisor for
On 13 October 2025, the Financial Conduct Authority (FCA) issued a Final Notice to Neil Dwane, imposing a financial penalty of £100,281 and a prohibition as a result of sales of shares prior to an announcement that the FCA concluded amounted to insider dealing. For the key takeaways from this case, as well
Shifting geopolitical dynamics have seen a wave of changes across the international investigations and enforcement landscape. In this edition, we focus on some of the most significant of these changes – from the issue of new cooperation guidelines by the Serious Fraud Office (SFO) to the abandonment by the Financial Conduct Authority (