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posted 6 months ago
Introduction
The New Approach
How it will work
Advantages
Disadvantages
Conclusion
The proposal to publish information about the opening and progress of an enforcement case will have major implications for regulated firms. The FCA opens dozens of new cases every year. Therefore, many firms will be affected by this. The FCA proposes intentionally to disregard the interests of firms themselves. It gives little consideration in the paper to the confidentiality restrictions in section 348 FSMA. I would encourage all regulated firms to respond to this consultation. If you would like to discuss further, or assistance in preparing a consultation response, please get in touch: [email protected].
[1] There are rare exceptions to this where the FCA concludes it is in the public interest to do so – see for example the FCA announcement in respect of the London Metal Exchange
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