- Trends in financial services enforcement
- The Enforcement Referral Criteria
- Application of the Enforcement Referral Criteria
- The strength of the evidence
- The purpose or goal that would be served by taking enforcement action
- The factors that determine whether the purposes of enforcement action are likely to be met
- The FCA's strategic priorities
- Financial crime and anti-money laundering
- Wholesale markets
- Innovation and technology
- Culture and governance
- Treatment of existing customers
Financial Services analysis: Peter Bibby, Partner, and Chloe Pawson-Pounds, Associate, both at Brown Rudnick, consider the areas where the FCA is likely to exercise its enforcement powers in the near future.
Sign in or take a trial to read the full analysis.
To continue reading this news article, as well as thousands of others like it, sign in to LexisPSL or register for a free trial