Compliance and Enforcement Newsletter November 2022
Here's an overview of our monthly compliance and enforcement updates:
- FCA fines Sigma Broking Limited £530,000 and bans and fines its
former directors following market abuse reporting failures
- FCA strategy for firms providing high-cost lending products
- FCA Authorisations Update October 2022
- FCA begins criminal proceedings against five individuals involved
with Worthington Group plc
- Biggest cyber risk is complacency, not hackers’ – UK Information Commissioner issues warning as
construction company fined £4.4 million
How can we help you?
If you’d like to know more about how we can help you with your compliance arrangements, or any other regulatory compliance issues, our specialist team is here to help.
Contact us today on 0207 436 0630 or email info@thistleinitiatives.co.uk.