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

SMSG publishes advice in response to ESMA’s call for evidence on retail investor journey under MiFID II

The European Securities and Markets Authority (ESMA) has published advice from its Securities and Markets Stakeholder Group (SMSG) in response to ESMA’s call for evidence on the retail investor journey under the Markets in Financial Instruments II Delegated Directive 2014/65/EU (MiFID II), launched in May 2025. The advice identifies a range of non-regulatory barriers to retail investor participation in EU capital markets, including differences in pension systems, cultural preferences for real estate over financial assets, limited financial literacy and the complexity of tax regimes and disclosures. It also considers the influence of digital platforms, the appeal of speculative investments among younger investors and the role of trust in financial markets. The SMSG notes that while investor protection remains a key objective, certain regulatory and market features may unintentionally discourage participation. The advice is intended to support ESMA’s ongoing assessment of whether adjustments or clarifications are needed to enhance retail engagement.

FCA fines and bans H2O deputy CEO for misleading regulator over due diligence

The Financial Conduct Authority (FCA) has fined Jean-Noel Alba, former deputy CEO of H2O AM LLP, £1.05m and banned him from financial services for deliberately misleading the regulator. Between August 2019 and July 2021, Alba provided false statements and backdated documents regarding H2O's due diligence on investments in Tennor Group companies. The misconduct included directing junior staff to create minutes for meetings that never occurred and presenting retrospectively created due diligence reports as contemporaneous documents. The case relates to H2O's €1.64bn investments made between 2015-2019.

Traders win casts doubt on plans for no-jury fraud trials

Law360, London: Repeated failure by the courts to ensure that two former traders imprisoned for rigging benchmark interest rates were given a fair trial has fueled criticism of radical reforms to roll back jury trials in complex fraud cases to ease pressure on the judicial system.

UNEPFI publishes new banking guidance on climate adaptation and resilience

The United Nations Environment Programme Finance Initiative (UNEPFI) has published new practical guidance for banks on implementing climate adaptation and resilience measures. Building previous climate adaptation frameworks, the document provides detailed implementation roadmaps across three practice levels and focuses on key areas including strategy, assessment, and action. It pays special attention to the real estate and agriculture sectors.

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