International—investigations and enforcement in financial services

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This overview is a guide to the Lexis+® UK Financial Services content within the International investigations and enforcement in financial services subtopic, with links to appropriate materials.

Cross-border regulatory investigations

The UK's Financial Conduct Authority (FCA) is under a statutory duty to cooperate with overseas regulators, this may involve responding to an overseas regulator’s request for information through to exercising its own investigatory powers on the behalf of an overseas regulator.

For practical guidance on the FCA’s statutory duty to cooperate with overseas regulators and

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Latest Financial Services News

Wider FCA misconduct rule risks over-reporting of staff

Law360, London: The rule change proposed by the Financial Conduct Authority (FCA) on non-financial misconduct for 37,000 companies outside the banking sector will generate pressure on businesses to protectively report employees to the FCA rather than risk later accusations of noncompliance.

FCA responds to IWG final report on MS19/1: Credit Information Market Study

The Financial Conduct Authority (FCA) has updated its webpage on MS19/1: Credit Information Market Study to note that it has published feedback to the Interim Working Group (IWG)’s final report, and provided an accompanying update. The FCA says it will continue to fund the IWG Chair and Secretariat resource for a short period, for the purpose of carrying out specific, essential transition activities that will allow the transition to the new Credit Reporting Governance Body (CRGB) to continue. Once these essential activities are complete and permanent CRGB staff are in place, the FCA will cease funding this staff resource and step away to allow industry to take forward the new governance body. The FCA says it expects this to be by the end of Q3 2025.

EBA launches consultation on draft guidelines for managing non-ICT third-party risk

The European Banking Authority (EBA) has launched a public consultation on its draft Guidelines on the sound management of third-party risk with regard to non-information and communication technology (non-ICT) related services. The draft Guidelines address third-party arrangements involving the provision of critical or important functions by third-party service providers and their subcontractors. They revise and update the EBA’s 2019 Guidelines on outsourcing to reflect developments under the Digital Operational Resilience Act (DORA). A transitional period of two years is proposed for financial entities to review and amend existing third-party arrangements and update their non-ICT registers. Responses are sought by 8 October 2025 and a virtual public hearing will be held on 5 September 2025.

Financial Services—other developments (8/7/2025)

A round-up of other developments, which have not been covered in full by the LexisNexis Financial Services practical guidance team but may nevertheless be of interest.

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