Regulation and investigations

Publication

ESG and internal investigations: New compliance challenges

As ESG concerns have come to the forefront in different jurisdictions, the scope of these inquiries is expanding in kind...

The results of the FCA's Culture and non-financial misconduct survey have been published: What do you need to know?

The FCA has published the results of its survey on non-financial misconduct. Set out below are (1) key findings; (2) nex...

Breadth of FCA’s supervisory power to require individual firms to pay redress confirmed by Court of Appeal in Bluecrest decision

The recent Court of Appeal decision in the Bluecrest case sets expansive parameters for the scope of the regulator’s pow...

FCA in listening mode on ‘name and shame’ proposal

Therese Chambers has given a speech today confirming next steps on the FCA’s proposals to announce investigations (origi...