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Enforcement Watch

Issue 28: April 2019

Enforcement Watch
Adam Epstein Post

Editor's Note

Welcome to the 28th issue of Enforcement Watch, our three times per year round up of enforcement activity and look to the horizon.

Enforcement Case Highlights

Tribunal's first decision in an FRA case News

Tribunal's first decision in an FRA case

In the first ever Focused Resolution Agreement (FRA) case to come before the Upper Tribunal, the Tribunal refused to reduce the penalty that had been imposed by the RDC.

On the horizon

Director of Enforcement speech on recent trends News

Director of Enforcement speech on recent trends

On 4 April 2019, Mark Steward (Director of Enforcement at the Financial Conduct Authority) delivered a speech at the Global Investigations Review Live event covering partly contested cases, the FCA’s recent cases and AML investigations.

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