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Enforcement Watch

Issue 30: January 2020

Enforcement Watch
News
Editor's Note

The last 4 months of enforcement activity have been a mixed bag. Some of the relatively usual diet of breaches and misconduct, although no less interesting for that, but also a couple of firsts that we include in our write ups. And, looking on the horizon, we cover a number of issues, some more immediate than others, that may alter the enforcement landscape. We hope you find it interesting.

News
Personal Account Dealing: the FCA's Concerns About Complacency

FCA authorised firms should be familiar with the requirement to have in place systems and controls to mitigate the risks associated with personal account dealing (PAD) by employees and other relevant individuals (COBS 11.7 and COBS 11.7A).

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