Investigations

FCA marks principal firms’ homework on appointed representatives – must try harder

The FCA says principal firms need to do more to comply with enhanced appointed representative rules… Continue Reading

Anatomy of a fraud series – Powers afforded by search and imaging orders

By Christian Toms on January 25, 2024 Posted in Dispute Resolution, Fraud and Financial Crime, Investigations

Search orders Search orders are a form of interim, mandatory injunction which require a respondent to allow the applicant’s representatives to enter the respondent’s premises and search for, copy and remove documents or material for the purpose of preserving evidence and/or property which is or may be subject to an action. Search orders are, therefore, … Continue Reading

Financial Promotions Data Analysed – An Increase in Intervention

By Chris Webber, Katherine Wakeham and Alex Villers on May 4, 2023 Posted in Investigations, Mis-Selling

Earlier this year, the Financial Conduct Authority published its analysis of its financial promotions data for 2022. That report sheds some interesting light on the FCA’s actions taken against authorised firms, and unauthorised entities and individuals, for breaches of financial promotion rules. The standout message is clear – the FCA has significantly increased its interventionist activity, in … Continue Reading

Is the FCA catching on to its AFrO and AFO powers?

By Chris Webber on September 28, 2022 Posted in Fraud and Financial Crime, Investigations, Regulation

My colleague Ben Ticehurst, a Director in our UK Government Investigations and White Collar team, recently shared a timely insight on increased use by the Financial Conduct Authority of Account Freezing Orders (“AFrOs”) and Account Forfeiture Orders (“AFOs”) on our Anticorruption Blog. He reports on the recent decision for the FCA to secure its first … Continue Reading