A Case of Insider Trading; £500,000 Confiscation Order
In February 2025, the Financial Conduct Authority (FCA) secured a confiscation order of £586,711.01 against a former Goldman Sachs analyst (Mohammed Zina) convicted of insider trading. This order amounts to […]
The FCA on Supporting Business & Investment Opportunities in Corporate Bonds
The Financial Conduct Authority (FCA) has announced a series of innovative proposals aimed at fostering growth and expanding investment opportunities for businesses across the UK. These new measures are designed […]
Ensuring Compliance: FCA Issues First Fine for Transaction Reporting Failures Under MiFIR
In a notable effort to maintain market integrity, the Financial Conduct Authority (“FCA”) has imposed its first penalty for transaction reporting failures under the UK Markets in Financial Instruments Regulation […]
How to Obtain an FCA Authorisation Registration as a Motor Finance Firm
Navigating the regulatory landscape of the Financial Conduct Authority (“FCA”) is critical for motor finance firms looking to operate within the UK regulated market. One of the key considerations for […]
Proposed change to Public Offers and Admissions to Trading Regime and the UK Listing Rules
Introduction The FCA has recently issued CP25/2 to get opinions from the sector regarding proposed changes in Public Offers and Trading Regime admissions as well as UK Listing Rules. These […]
FCA Authorisation for Firms Using Innovative Business Models
In today’s rapidly evolving financial landscape, innovative business models are becoming increasingly common. Firms leveraging cutting-edge technologies and novel approaches to financial services must navigate the regulatory environment with greater […]
Culture is Contagious: Why Your Business Can’t Afford to Ignore It
In a compelling speech delivered at the 10th Annual Culture and Conduct in Financial Services Summit, Emily Sheppard, Chief Operating Officer of the Financial Conduct Authority (“FCA”), emphasised a powerful […]
Navigating FCA’s CP24/23: A Guide to the Upcoming Remuneration Reforms
The Financial Conduct Authority (“FCA”) and the Prudential Regulation Authority (“PRA”) have jointly launched a Consultation Paper (“CP24/23”) named CP24/23: Remuneration reforms, to increase the effectiveness of remuneration practices within […]
The Interim Capital Regime – Further Clarification by the Prudential Regulation Authority
PS19/24 – Strong and Simple Framework: The definition of an Interim Capital Regime (“ICR”) firm was issued by the Prudential Regulation Authority (“PRA”) at the end of 2024 and is […]
FCA Publishes Results of Non-Financial Misconduct Survey
Since CP23/20: Diversity and inclusion in the financial sector was released in September 2023, the financial services sector has been awaiting a policy statement from the Financial Conduct Authority (“FCA”) […]