Enforcement Watch

Enforcement Watch

Issue 27
4613Adam Epstein

Editor's Note

Welcome to the 27th issue of Enforcement Watch, our three time a year round up of the most interesting enforcement cases and of what is coming down the track.

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Enforcement Case Highlights

27 September 2018: FCA Fine for Market Abuse Systems and Controls - read more

30 October 2018: FCA Fines Liberty Mutual Insurance for Failures in Outsourcing of its Mobile Phone Insurance Claims Handling - read more

6 November 2018: Upper Tribunal Upholds Keydata Decisions - read more

7 November 2018: Financial Penalty for Failure to Disclose Information - read more

4 December 2018: FCA Proposes to Fine Former CEO of Sonali Bank - read more

On the Horizon

Some Recent Developments and Guidance on SMCR for Solo-Regulated Firms - read more

FCA Extends Access to the Financial Ombudsman Service for SMEs - read more

FCA Issues Warning Over 'Printing' and 'Flying' - read more

Andrew Bailey Speech on Culture - read more

1881Some Recent Developments and Guidance on SMCR for Solo-Regulated Firms

Some Recent Developments and Guidance on SMCR for Solo-Regulated Firms

As we have covered in a number of previous editions of Enforcement Watch, all remaining firms authorised by the FCA alone will fall under the Senior Managers and Certification (SMCR) regime from December 2019.

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1882FCA Extends Access to the Financial Ombudsman Service for SMEs

FCA Extends Access to the Financial Ombudsman Service for SMEs

On 16 October 2018, the FCA published near final rules which provide that, as of 1 April 2019, more small and medium-sized enterprises (SMEs) as well as larger charities, trusts and personal guarantors will be able to lodge complaints with the Financial Ombudsman Service (FOS).

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1883FCA Issues Warning Over 'Printing' and 'Flying'

FCA Issues Warning Over 'Printing' and 'Flying'

On 2 November 2018, the FCA repeated concerns (first expressed in June 2015) regarding firms publishing incorrect/misleading volume and price data and the possible market abuse risks associated with this.

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1884Andrew Bailey Speech on Culture

Andrew Bailey Speech on Culture

On 6 November 2018, Andrew Bailey gave a speech to the Investment Association that dealt with culture.

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