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.
Azizur Rahman
3 December 2019
As the consultation period begins on the new senior managers regime that the Financial Conduct Authority intends to impose on some benchmark administrators,
Azizur Rahman
21 November 2019
Compliance officers will have their hands full as the London Interbank Offered Rate (Libor) transition kicks in. A Q&A published by the Financial Conduct Authority (FCA) on conduct risk during Libor t...
Azizur Rahman
5 September 2019
The Financial Conduct Authority (FCA) has secured its joint largest-ever money laundering prison sentence against Richard Baldwin, a major player in Operation Tabernula. This was five years with eight...
Syedur Rahman
30 August 2019
Rahman Ravelli's Syed Rahman was recently asked by Law360 to comment on a piece looking closely at the ongoing Minibond scandal surrounding the collapse of London Capital and Finance, which left thous...
Nicola Sharp
2 August 2019
The 2019 fiscal year saw the UK’s Financial Conduct Authority (FCA) issue its largest total amount in fines against individuals.
Nicola Sharp
24 July 2019
The Financial Conduct Authority (FCA) requires traders to have a better understanding of its five conduct rules, it said at its annual public meeting yesterday. The FCA is focused on financial crime a...
Nicola Sharp
18 July 2019
The overarching theme in the United Kingdom’s Financial Conduct Authority annual report is one of change, as the regulator looks beyond Brexit and its impact on resources.
Syedur Rahman
15 July 2019
The FCA has reported that it carried out more dawn raids last year than in any year since 2010. But – in an era where the regulator is opening more cases, spending a higher budget and employing more s...
Azizur Rahman
11 July 2019
The Financial Conduct Authority's (FCA) recent conviction of a UBS compliance officer and her friend have escalated the regulator's convictions on its criminal insider dealing prosecutions by a third ...
Syedur Rahman
25 June 2019
The deterioration of Neil Woodford’s flagship £3.7 billion fund has prompted the FCA to consider reviewing how investments in illiquid assets are regulated. Many have criticised the financial watchdog...