Connections

9/4/2026 10:35:22 AM

Notice in a Nutshell: PRA fines HDI Global SE £4,165,000 for inaccurate PRA and FCA reporting

By Katie Stephen

On 16 July 2026, the PRA published a Final Notice imposing a £4,165,000 penalty on HDI Global SE (HDI Global or the Firm) for breaches of...

9/4/2026 9:13:37 AM

Primary Market Bulletin 65: Key takeaways for listed companies from the FCA’s discussion of regulatory announcements and delayed disclosure of inside information

By Katie Stephen Chris Pearson Fiona Millington +1 more...

On 28 August 2026, the FCA published Primary Market Bulletin 65 (PMB 65) which, among other things, (a) flags concerns around potentially...

8/7/2026 1:27:36 PM

LSE implements significant AIM Rule reforms with immediate effect: Key takeaways for AIM companies and Nomads

By Fiona Millington Richard Sheen Clementine Hogarth +2 more...

On 5 August 2026, the London Stock Exchange (LSE) confirmed wide-ranging changes to the AIM Rules with immediate effect (see AIM Notices...

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...

5/22/2026 1:11:11 PM

Notice in a nutshell update: FCA fines former chief executive and issues Primary Market Bulletin 62

By Katie Stephen Joe Smallshaw Catherine Pluck

At the start of this year, the Financial Conduct Authority (FCA) issued Final Notices against two former finance directors of Carillion...

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...