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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 photo

Jenny Stainsby

Global Head – Financial Services Regulatory, London

Jenny Stainsby
Hywel Jenkins photo

Hywel Jenkins

Partner, London

Hywel Jenkins
Christine Young photo

Christine Young

Partner, London

Christine Young

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Jenny Stainsby photo

Jenny Stainsby

Global Head – Financial Services Regulatory, London

Jenny Stainsby
Hywel Jenkins photo

Hywel Jenkins

Partner, London

Hywel Jenkins
Christine Young photo

Christine Young

Partner, London

Christine Young
Jenny Stainsby Hywel Jenkins Christine Young