Connections

7/30/2026 1:49:35 PM

Notice in a nutshell: FCA fines individuals over £100,000 for insider dealing

By Katie Stephen Joe Smallshaw Catherine Pluck

The Financial Conduct Authority (FCA) recently confirmed that over 75 percent of its enforcement work focuses on fighting financial...

7/23/2026 3:10:39 PM

Notice in a nutshell: FCA fines consulting and engineering company for issuing misleading statements

By Katie Stephen Catherine Pluck

Earlier this year, the Financial Conduct Authority (FCA) issued a Final Notice to John Wood Group Plc (the Company) imposing a financial...

7/7/2026 4:37:00 PM

Notice in a nutshell: FCA proposes to fine individual £99,600 for failure to disclose overseas investigation, sanction and enforcement action

By Katie Stephen Rebecca Dulieu

On 11 June 2026, the Financial Conduct Authority (FCA) published a Decision Notice that has been issued to Carlos Ricardo Fuenmayor, the...

6/19/2026 2:16:20 PM

Luxembourg is bringing out the toolkit: That matters more than it sounds

By Mirella Hart David Shearer Christian Lambie +3 more...

Some legal reforms arrive with fanfare. Others arrive with a screwdriver. Luxembourg’s latest proposed changes to its securitisation law...

6/9/2026 8:50:28 AM

RMBS: Public by default, private by necessity

By Mirella Hart David Shearer Christian Lambie

Why the divide is really about data Solar is close enough to the public markets to be discussed, but not yet settled enough to live there...

6/9/2026 8:47:36 AM

Here comes the sun

By Mirella Hart Christian Lambie David Shearer

As Global ABS returns to Barcelona, with sunshine more or less guaranteed, solar securitisation feels like a fitting topic for the week....

6/8/2026 3:14:01 PM

When temporary becomes the point

By Mirella Hart Christian Lambie David Shearer

Warehouses were never meant to be destinations. They were designed as transitional structures: a way to accumulate assets, test...

5/1/2026 2:20:33 PM

Notice in a nutshell: FCA prohibits chief executive of online trading firm from working in financial services due to lack of honesty and integrity

By Katie Stephen

On 13 March 2026, the Financial Conduct Authority (FCA) published a Final Notice in which it prohibited Kasim Garipoglu from working in...

4/29/2026 9:38:15 AM

Notice in a nutshell: PRA fines U K Insurance Limited £10,625,000 in connection with solvency reporting

By Katie Stephen Joe Smallshaw

On 10 March 2026, the Prudential Regulation Authority (PRA) published a Final Notice imposing a financial penalty of £10,625,000 on U K...

4/27/2026 2:54:13 PM

Notice in a Nutshell: FCA fines Dinosaur Merchant Bank £338,000 for market abuse surveillance failures in its CFD business

By Katie Stephen Rebecca Dulieu

On 24 March 2026, the Financial Conduct Authority (FCA) issued a Final Notice to Dinosaur Merchant Bank Limited (DMBL), imposing a...

4/27/2026 1:10:03 PM

AI in financial services: Why firms cannot afford to wait for regulation

By Jonathan Herbst

The big question for any firm is what to do about the development of AI. There is a large literature already in relation to this from the...

4/27/2026 1:00:50 PM

SMCR reform: Key aspects of firm and individual notifications

By Matthew Gregory

The changes to SMCR published by the Prudential Regulation Authority (PRA) and the Financial Conduct Authority (FCA) on 21 April have...