Enforcement

Enforcement

FCA charges solicitor with five counts of insider dealing over Seraphine Group acquisition

A solicitor allegedly traded in a client company's shares using confidential M&A information on five separate occasions. Criminal proceedings are now before the Crown Court.

Enforcement

FCA Enforcement Watch 2: 11 Consumer Duty investigations open as fair value and vulnerable customers drive enforcement focus

The FCA's second Enforcement Watch reveals 11 open Consumer Duty investigations across six sectors, nearly double the six reported previously. If your firm is subject to the Duty, review the themes now and test them against your current controls.