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Articles by Billy Bradley
FCA’s multi-firm review on non-financial misconduct at wholesale brokers
“Lift me up! Tie me in my Chair! Fill my Glass!”, 1838. Artist Henry Thomas Alken. Photo: Print Collector/Getty Images The FCA recently held a webinar discussing its findings from a multi-firm review on non-financial misconduct (NFM) systems and controls across the wholesale broking sector.
FCA proposes overhaul of remuneration rules for solo-regulated firms
On 14 July 2026, the Financial Conduct Authority (the “FCA”) published Consultation Paper CP26/27, Remuneration: Solo-regulated firms’ rules reform (the “Consultation”), setting out proposals to replace the FCA’s three existing sectoral remuneration codes with a single, outcomes-focused code. The Consultation – published alongside CP26/28 on reform of the Alternative Investment Fund Managers Directive (“AIFMD”) regime – represents a significant simplification of the FCA’s remuneration framework.
FCA changes non-financial misconduct rules
Earlier this month, the Financial Conduct Authority (FCA) published its consultation paper and policy statement on tackling non-financial misconduct in the financial services sector. The policy expands the scope of its bullying and harassment rules to non-banks, which represents around 37,000 additional firms, from 1 September 2026. The aim is to align the rules for banks and non-banks for cases of serious non-financial misconduct, to drive consistency of approach and enable robust action.
FCA survey on non-financial misconduct: takeaways for employers
The Financial Conduct Authority (FCA) has published the findings of its comprehensive survey on non-financial misconduct (NFM) within the wholesale financial services sector. The survey covered incidents from 2021 to 2023. The targeted portfolios included London market insurers, market intermediaries, wholesale banks and wholesale brokers. Although many of the survey results are positive and demonstrate that firms are addressing incidents of NFM, some gaps remain.
UK FCA proposals to publicly announce investigations could be detrimental to firms placed into enforcement
With every new director of enforcement and market oversight at the Financial Conduct Authority (FCA), there is a step change in the way the regulator approaches enforcement cases. Under the FCA's former incumbent in the role, the threshold for opening enforcement cases was lowered, leading to an increase in its enforcement caseload and an increase in the length of time for an investigation to be concluded.
UK FCA proposals to publicly announce investigations could be detrimental to firms placed into enforcement
29/02/2024 With every new director of enforcement and market oversight at the Financial Conduct Authority (FCA), there is a step change in the way the regulator approaches enforcement cases.Under the FCA's former incumbent in the role, the threshold for opening enforcement... Read more
Review of the Senior Managers and Certification Regime (SM&CR)
14/04/2023 On 30 March 2023, the Prudential Regulation Authority (“PRA”) and Financial Conduct Authority (“FCA”) (the PRA and FCA together being the “Regulators”) published a joint Discussion Paper (DP1/23) seeking input on potential ways to improve the Senior... Read more
Trump’s Ultimate Chance to Overturn the Election
It’s doubtful it’ll work, but the 1887 Electoral Count Act's wording allows for one last loophole. For weeks, Trump has been stirring his base with calls to show up in D.C. on January 6, 2021. What his supporters can achieve from outside the Capitol, no one truly knows. What his sycophants can or at least attempt to achieve from within has been made clear this week when senator Josh Hawley from Missouri stated he would object to the electoral vote count.
Netcraft Extension adds credential leak detection
The Netcraft Browser Extension now offers credential leak detection for extra protection against shopping site skimmers. With brick-and-mortar shops around the world closed due to COVID-19, consumers turned to online businesses to fulfil their shopping needs. According to Adobe’s Digital Economy Index report, US online spending in June was $73 billion, up 76% from $42 billion last year.
Leaning into Discomfort
When we wrote about the crisis within the crisis back in April, we were in the first chapter of the COVID-19 pandemic. Since then, our worst fears about the disproportionate toll that would be borne by Black and Brown communities, the fissures and disparities that COVID-19 would lay bare, have been realized.
Recent Shifts in the Electoral College Map
As many of us have heard throughout recent weeks, President Trump’s campaign has floundered in recent weeks under the stress of a severe economic recession, the perceived failure of the federal government’s COVID-19 response, and the extraordinary protests seen in the wake of George Floyd’s death at the hands of Minneapolis police.
RISK MATTERS - Winter 2017/2018
To view this article you need a PDF viewer such as Adobe Reader. If you can't read this PDF, you can view its text here. Go back to the PDF . CMS_LawTax_Negative_28-100.eps Insurance sector update Winter 2017/2018 1 Introduction 2 What are the top issues facing the market as we enter 2018?
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