On 3 November, the FCA prohibited three individuals from working in the financial services industry following findings that they are not fit and proper. The three individuals were all approved persons at the time that they were convicted of serious indictable offences. These Final Notices confirm a trend we identified in our recent Top 10 Global Trends Regarding Investigations Involving Individuals: an increasing focus on non-financial misconduct.

Please read our full briefing here.

 

Jenny Stainsby

Jenny Stainsby
Partner
+44 20 7466 2995

Hywel Jenkins

Hywel Jenkins
Partner
+44 20 7466 2510

Christine Young

Christine Young
Partner
+44 20 7466 2845

Benedicte Perowne

Benedicte Perowne
Senior Associate
+44 20 7466 2026

Natasha Stevens

Natasha Stevens
Associate
+44 20 7466 2319