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Enforcement Watch Roundup

Issue 41: September 2023

Enforcement Watch Roundup

Editor's Note

Adam Epstein - Mishcon de Reya

In this most recent period, we have seen both ends of the spectrum.  At one end, the FCA being sharply criticised by the Upper Tribunal.  At the other, the FCA limbering up for a new financial promotions regime.

Read the full note

Enforcement Highlights

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What the FCA's Annual Report reveals about enforcement

The FCA has published its Annual Report, looking back on the period 1 April 2022 – 31 March 2023, its first since setting out its three-year strategy in April 2022 and its first since Therese Chambers and Steve Smart took the helm as joint Executive Directors of Enforcement and Market Oversight.

On the Horizon


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