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Enforcement Watch Roundup

Issue 38: September 2022

Enforcement Watch Roundup

Editor's Note

Adam Epstein - Mishcon de Reya

As ever, there has been a certain throughput in recent months of enforcement cases. Although this time, it somewhat unusually includes two sets of listing cases. On the Horizon unsurprisingly features articles relating to consumers, but it also reports on a rather unusual update from the FCA on market abuse and manipulation. We hope you find the issue interesting.

Read the full note

Enforcement Highlights

red building

FCA cases lay down marker for directors of listed companies

Published FCA cases against directors of listed stocks are relatively rare. There have unusually been two recently published sets of cases, and executive and non-executive directors alike would do well to pay close attention to them.

On the Horizon

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