This 5 Trends piece covers non-financial misconduct, the Senior Managers and Certification Regime, FCA investigations and Upper Tribunal proceedings, motor finance, and FCA Sustainability Disclosure Requirements.
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Katharine Bond
Katharine is a member of the Litigation Practice in Greenberg Traurig's London office. Her practice combines financial services litigation (claimant and defendant) and Financial Conduct Authority (FCA) / Prudential Regulation Authority (PRA) advisory (including enforcement, supervisory and investigations work). Katharine has particular experience advising senior individuals in their distressed dealings with regulators, including advising where FCA / PRA regulation meets employment law issues.
5 Trends to Watch: 2023 UK Contentious Financial Regulation
1. Non-financial misconduct – FCA guidance expected
It is anticipated that in 2023 the Financial Conduct Authority (FCA) will provide further guidance on the increasingly uncertain question of what kinds…
Continue Reading 5 Trends to Watch: 2023 UK Contentious Financial RegulationFCA Takes Next Step Towards a UK Consumer Duty: An Update for Regulated Businesses
In December 2021, the UK Financial Conduct Authority (FCA) published a consultation to set a higher standard of consumer protection in retail financial markets, an endeavor which began in July…
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Principals in the Spotlight as UK’s FCA Consults on Changes to Appointed Representatives Regime
The Appointed Representatives Regime (ARR), a well-known and important feature of the UK regulatory landscape, enables certain businesses – Appointed Representatives (ARs) – to conduct regulated activities without having to…
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UK FCA Implements Controversial Change to Its Decision-Making Procedures
To expedite decisions to prevent or stop consumer harm, the Financial Conduct Authority (FCA) has implemented a controversial change to its decision-making procedures. The change forms part of the FCA’s…
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