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

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