The FCA’s Whistleblowing Campaign 2 min read
By Syedur Rahman
April 8, 2021
Syedur Rahman of Rahman Ravelli considers the Financial Conduct Authority’s attempt to encourage would-be whistleblowers to report directly to it. Read more
The FCA’s latest efforts to curb market abuse 2 min read
By Nicola Sharp
March 31, 2021
Nicola Sharp of Rahman Ravelli considers the Financial Conduct Authority’s recent approaches to ensuring market integrity Read more
The Financial Conduct Authority and Liquidation Stays 3 min read
By Syedur Rahman
December 14, 2020
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. Read more
Spoofing and Market Manipulation - 2020 Year in Review 36 min read
By Joshua L. Ray, Nicola Sharp, Josie Welland
December 4, 2020
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 efforts to chip away at regulators' evolving theories of liability. Read more
Printing trades and the FCA 4 min read
By Nicola Sharp
December 3, 2020
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. Read more
The FCA in the pandemic 1 min read
By Syedur Rahman
November 6, 2020
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. Read more
The FCA, Its New Man At The Top and The Issues He Must Address 4 min read
By Syedur Rahman
October 20, 2020
Syed Rahman of Rahman Ravelli considers the challenges facing the new head of the Financial Conduct Authority Read more
CFTC Continues to (Wrongfully) Target Small Overseas “Spoofers” 12 min read
By Joshua L. Ray
October 6, 2020
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 are strong grounds for challenging CFTC allegations. Read more
FCA regulation and pensions advice 2 min read
By Syedur Rahman
July 23, 2020
Syedur Rahman of Rahman Ravelli outlines a case that emphasises the important distinction between regulated and unregulated firms regarding pensions advice. Read more
Meeting financial conduct authority obligations on money laundering 2 min read
By Syedur Rahman
June 30, 2020
With the FCA having fined Commerzbank more than £37M for a lack of money laundering controls, Syed Rahman of Rahman Ravelli outlines the regulatory requirements for banks. Read more