FCA enforcement themes

UK Market Abuse and Enforcement

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As at least some of the initial effects of the Covid-19 pandemic begin to abate, the Financial Conduct Authority (FCA) is resuming its enforcement agenda.  With a new CEO at the helm, the FCA’s appetite for, and breadth of, enforcement appears to be increasing.  Whilst some of the pre-pandemic priority areas remain, the FCA is also sharpening its focus on new issues that have crept up the agenda.  It is also clear that the FCA is continuing with its enforcement focus on the investment management sector. 

The session will:

  • Analyse enforcement themes and trends that have emerged from FCA enforcement investigations and actions over the last year; 
  • Highlight the key areas of focus for the FCA from an enforcement perspective, including areas of particular enforcement focus such as governance and culture, individual accountability, non-financial misconduct, use of data and artificial intelligence, the horizon for crypto and ESG, consumer treatment, market abuse, financial crime, and operational resilience; 
  • Share insights into how the FCA is conducting its enforcement investigations, especially in light of its sustained high volume of investigations and the impact of the new CEO’s agenda; and 
  • Look ahead to the next year to predict future key areas of focus for the FCA from an enforcement perspective, including likely areas of enforcement focus relating to Covid-19. 

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