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Articles by David McMenamin
High Court upholds FCA decision to announce investigation and name relevant firm
The decision gives the FCA fresh legal cover to name firms under investigation. It may embolden the FCA to do so more readily in cases calling for the protection of consumers and investors (and it reveals senior-level views within the FCA favouring the naming of firms for that purpose). It also underscores the high bar for judicial intervention in this area.
Naming And Shaming: The UK High Court Backs FCA In "Exceptional Circumstances"
Sarah Hitchins’s articles from A&O Shearman are most popular: in European Union A&O Shearman are most popular: within Insurance, Real Estate and Construction and Consumer Protection topic(s) The High Court has handed the UK Financial Conduct Authority (FCA) fresh legal cover to name firms under investigation where "exceptional circumstances" are said to exist, dismissing a judicial review brought by an anonymous firm, "CIT". CIT has sought permission to appeal.
LeBron James de los Lakers debuta ante los Jazz, iniciando su récord número 23
David McMenamin Cerca David McMenamin Redactor de ESPN Reportero de los Lakers y la NBA para ESPN. Cubrió a los Lakers y la NBA para ESPNLosAngeles.com de 2009 a 2014, a los Cavaliers de 2014 a 2018 para ESPN.com y a la NBA para NBA.com de 2005 a 2009. 08:46 pm ET 18 de noviembre de 2025 LOS ÁNGELES — Lakers estrella Lebron James debutó en la temporada en uno ganó 140-126 arriba jazz de utah el martes por la noche, saliendo al campo para comenzar una temporada número 23, un récord de la liga.
Naming and shaming: The UK High Court Backs FCA In “Exceptional Circumstances” | JD Supra
[co-author: Isabella Rzym]* The High Court has handed the UK Financial Conduct Authority (FCA) fresh legal cover to name firms under investigation where “exceptional circumstances” are said to exist, dismissing a judicial review brought by an anonymous firm, “CIT”. CIT has sought permission to appeal.
UK High Court backs FCA in “exceptional circumstances”
This judgment marks the first detailed judicial analysis of when the FCA may name a firm under investigation in “exceptional circumstances” and reminds firms that publicity of enforcement investigations can come fast and with limited notice. Preparedness and early engagement with the FCA about publicity therefore remain essential.
High Court Upholds FCA Decision To Announce Investigation And Name Relevant Firm
AO A&O Shearman More A&O Shearman was formed in 2024 via the merger of two historic firms, Allen & Overy and Shearman & Sterling. With nearly 4,000 lawyers globally, we are equally fluent in English law, U.S. law and the laws of the world’s most dynamic markets. This combination creates a new kind of law firm, one built to achieve unparalleled outcomes for our clients on their most complex, multijurisdictional matters – everywhere in the world.
Proposed Action Against Crispin Odey: A Different Approach To Tackling Non-Financial Misconduct
The UK Financial Conduct Authority (FCA) has published the full details of its proposal to fine and ban the fund manager, Crispin Odey, for lacking integrity. But the FCA's proposed action against Mr Odey does not rely on his alleged sexual misconduct. Instead, the FCA took a different approach by focusing on how Mr Odey deliberately frustrated a disciplinary hearing into his alleged sexual misconduct and the knock-on impact his actions had on his firm's broader governance arrangements.
Proposed action against Crispin Odey: A different approach to tackling non-financial misconduct | JD Supra
The UK Financial Conduct Authority (FCA) has published the full details of its proposal to fine and ban the fund manager, Crispin Odey, for lacking integrity. But the FCA’s proposed action against Mr Odey does not rely on his alleged sexual misconduct. Instead, the FCA took a different approach by focusing on how Mr Odey deliberately frustrated a disciplinary hearing into his alleged sexual misconduct and the knock-on impact his actions had on his firm’s broader governance arrangements.
UK FCA Financial Crime Guide consultation: more obligations, or old news? | JD Supra
As financial crime compliance pressures grow, the UK Financial Conduct Authority (FCA) continues to emphasise the significance of its Financial Crime Guide (FCG) as part of the overarching regulatory framework for financial crime, which firms are strongly encouraged to consider and follow. Since 2020, 44% of Final Notices issued by the FCA to firms in relation to financial crime failings have referenced the FCG.
UK FCA and PRA proposals for improving D&I: Senior Manager responsibility and oversight | JD Supra
The latest proposals for improving diversity and inclusion in the UK financial services sector, published by the Financial Conduct Authority and Prudential Regulation Authority, include changes that will impact Senior Manager arrangements at UK regulated firms. The extent of the impact will depend on a number of factors, including whether a firm is solo or dual regulated.
DI in FS - senior management responsibilities and oversight | JD Supra
The Financial Conduct Authority (FCA) and Prudential Regulation Authority’s (PRA) recent proposals demonstrate a divergence in approach when it comes to individual accountability and expectations of senior management in driving diversity and inclusion (D&I) strategy.
The results are in: Our top 10 enforcement insights from the FCA’s Annual Report for 2022/23 | JD Supra
Last week, the FCA published its Annual Report for 2022/23, which included the usual FCA annual enforcement performance data. Below we have selected 10 key points from the Annual Report that are interesting from an enforcement perspective: 1. The FCA has sustained its high number of open enforcement investigations, but the total number of new and closed cases has reduced significantly As at 31 March 2023, the FCA had 591 open enforcement investigations relating to 224 cases.
MLROs in the spotlight – what does the FCA expect? | JD Supra
The MLRO role and requisite competence The MLRO is the focal point of anti-money laundering (AML) within FCA authorised firms, with oversight of all AML-related activity. The MLRO's roles and responsibilities should be clearly outlined in their role description and further documented in firms’ AML framework and associated policies and procedures.
Enforcement risks for firms unauthorised communication applications | JD Supra
With remote and hybrid working arrangements now the norm for many firms in the wake of the pandemic, risks of misconduct have become heightened by the increased use of unmonitored and/or encrypted communication applications to exchange business-related information. This area is the subject of ever-growing regulatory scrutiny, including by the UK Financial Conduct Authority (FCA).
Upper Tribunal upholds FCA’s decision to ban financial adviser convicted of non-financial misconduct | JD Supra
The Financial Conduct Authority (FCA) has imposed a ban on a financial adviser with a criminal conviction for non-financial misconduct, despite the case being contested in the Upper Tribunal. Although the FCA’s policy on taking enforcement action against individuals who have engaged in non-financial misconduct is clearly still a work in progress, the Tribunal’s decision provides helpful guidance on what the FCA must prove and the wider circumstances that can be taken into account.
LeBron James -- Cleveland Cavaliers can't get comfortable back home
OAKLAND, Calif. -- Whatever solace the Cavaliers could take back to Cleveland for Game 3 of the NBA Finals -- knowing full well they let a win slip away in Game 1 and had their chances in Sunday's 122-103 Game 2 loss to the Golden State Warriors -- LeBron James says his team had better stay on edge."We've got an opportunity to go home and we played some really good basketball on our home floor. But that shouldn't give us any comfort," James said.
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