Business Plan 2020-21: FCA remains vigilant to potential misconduct
Some of the quotes Jill made include:
Banning not one but three individuals from working in financial services as a result of convictions for serious sexual related offences sends a powerful message."
The bans showed the FCA's ruthless attention on integrity."
It leaves no doubt about the high standards of character and integrity expected of the individuals operating in the regulated financial sector."
You can read the full articles by clicking above (some require subscriptions) and all have been published from 5 November 2020 onwards.
For further information on the issues raised in this news post, please contact a member of our criminal litigation team.
Jill Lorimer is a Partner in our Criminal Litigation team and has an extensive track record in advising firms and individuals facing regulatory and criminal investigations by the Financial Conduct Authority (FCA). Jill has particular expertise in advising firms who are, or who may be, under the scrutiny of the FCA and in taking a proactive approach to head off potentially adverse action. She also advises individuals applying to be FCA approved persons as well as those whose approved status is at risk.
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