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Enforcement Watch Roundup

Issue 35: September 2021

Enforcement Watch Roundup
 Post

Editor's note

Enforcement highlights include further criticism levied by the Upper Tribunal on the FCA, which will impact how they run proceedings in future. We have also seen the conclusion of the non-financial misconduct matter, Frensham, with the SMCR implications that will have. As for what is On the Horizon, the new proposed consumer duty shows that consumer protection remains at the heart of financial markets. Whilst the FCA's consultation on "streamlining" decision making gives rise to some real concerns.

Enforcement Case Highlights

On the Horizon

 News

FOMO, the FCA and Token Regulation

Charles Randell, Chair of the FCA and the Payment Systems Regulator, in his speech to the Cambridge International Symposium on Economic Crime on 6 September 2021, discussed how online platforms, legislators and regulators need to work collaboratively to ensure that the regulation of digital tokens prevents misconduct and financial crime without stifling innovation.

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