23 July 2015

Annual Report for Financial Conduct Authority (FCA) - international cooperation, market abuse, convictions, senior managers regime, whistleblowing and a historic year for fines

As the Parliamentary recess loomed, government departments and agencies rushed to publish their annual reports and accounts.  Alongside the Serious Fraud Office, the Financial Conduct Authority (FCA) has issued its own end of term report. 

Louise Hodges

24 June 2015

Fraudsters on the inside

There has long been a call to make the reporting of fraud a compulsory requirement, akin to the suspicious activity reports regime in money laundering, so that we have a full picture of the amount of fraud that goes on. 

24 February 2015

Senior Managers Regime: Tougher regulation of senior bankers and non-executive directors (NEDs) confirmed

The Financial Conduct Authority (FCA) and Prudential Regulation Authority (PRA) published a paper 24 February 2015 entitled “Approach to non-executive directors in banking and Solvency II firms & Application of the presumption of responsibility to Senior Managers in banking firms” (referred to here as “the New Consultation”). 

19 February 2015

Personal commitments: Benefits and risks of signing an attestation with the FCA

On 13 February 2015, the FCA launched a webpage providing information and data about the use of attestations.  The trend is that they are on the increase.  What are they, when should they be signed and who should sign them?

Louise Hodges

7 August 2014

Professionals beware: your conduct outside of the office could be under regulatory scrutiny

If asked to answer truthfully, I am sure many professionals would, at some point, and to varying degrees, have acted in a way which was less than entirely honest.   For most, this would have been an isolated event, which has long been put out of their minds.  Few would have thought through the range of consequences of such an act; however, as a professional, acting dishonestly, or with a lack of integrity, could have wide-reaching consequences.  

Julie Matheson

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