As the regulator of the financial sector, the Financial Conduct Authority investigates companies and individuals. Those investigated must take the right steps to protect their assets and reputation.
/ Legal Articles / Financial Conduct Authority (FCA)
Syedur Rahman of Rahman Ravelli details the Financial Conduct Authority’s plans to change the UK’s company listings regime to attract special acquisition companies.
By Syedur Rahman
24 June 2021
5 min read
Syedur Rahman of Rahman Ravelli assesses how the UK is considering making the City more appealing to special purpose acquisition companies (SPACs).
By Syedur Rahman
6 May 2021
5 min read
Syedur Rahman of Rahman Ravelli considers the Financial Conduct Authority’s attempt to encourage would-be whistleblowers to report directly to it.
By Syedur Rahman
8 April 2021
2 min read
Nicola Sharp of Rahman Ravelli considers the Financial Conduct Authority’s recent approaches to ensuring market integrity
By Nicola Sharp
31 March 2021
2 min read
Syedur Rahman of Rahman Ravelli examines a case that ruled on whether a Warning Notice can be issued while there is a liquidation stay on action and proceedings.
By Syedur Rahman
14 December 2020
3 min read
Among the many changes in 2020, at least one thing remained constant: US law enforcement's focus on "spoofing" and similar variations of market manipulation. The CFTC, SEC, and DOJ all notched important wins despite defendants' continued ef...
After an options broker was fined millions for printing trades, Nicola Sharp of Rahman Ravelli examines the Financial Conduct Authority’s approach to the practice.
By Nicola Sharp
3 December 2020
4 min read
The Financial Conduct Authority has disclosed information about the size of its caseload this year. Syedur Rahman of Rahman Ravelli considers how it is functioning in the pandemic.
By Syedur Rahman 6 November 2020
Syed Rahman of Rahman Ravelli considers the challenges facing the new head of the Financial Conduct Authority
By Syedur Rahman
20 October 2020
4 min read
Joshua Ray of Rahman Ravelli details the Commodity Futures Trading Commission’s current hardline approach to allegations of spoofing. Despite the recent failure of two defendants to have a spoofing indictment dismissed, he believes there ar...
By Joshua L. Ray
6 October 2020
12 min read
