FCA Principle 11
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When should companies self-report?
The SFO’s recent guidance is just one piece of a larger puzzle.
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“We would be looking at the public interest in the round” says FCA’s Chambers on enforcement publicity
Second report from the Simmons & Simmons webinar where Therese Chambers answered questions on the practical implications of the proposal.
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FCA says that misleading market communication practices persist
The FCA has highlighted continuing concern about ‘flying’ and ‘printing’ and the failure of firm management to deal effectively with both practices.
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FCA loses high profile Upper Tribunal enforcement cases
The judgment is critical of the FCA’s conduct of the investigation and enforcement processes.
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FCA provides more advice on insider lists
Accurate lists that include personal information are required in the UK in order to fully comply with MAR.