Editor's Note

Posted on 29 May 2019

Adam Epstein

Welcome to the 28th issue of Enforcement Watch, our three times per year round up of enforcement activity and look to the horizon.  Some important cases included in this publication show the FCA's focussed resolution agreements in action and include some significant penalties for failings in respect of transaction reporting.  Meanwhile, a summary of the business plan and a recent speech hint at future cases, including in respect of AML failings.  We hope you find this publication interesting.

As ever, with thanks to the Enforcement Watch team.

 

 

 

 

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