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Jan 26, 2016

Identification of Third Parties in FCA Notices

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Several recent UK cases have considered the extent to which third parties may be identified in public disciplinary notices issued by the Financial Conduct Authority to financial institutions.  UK financial services legislation allows the regulator to refer to matters which would identify a third party, without naming that individual, in a notice provided that the regulator affords the individual certain rights. This note discusses various recent decisions and discusses the implications for regulated firms, individuals working in those firms and for the regulator.

View full memo, Identification of Third Parties in FCA Notices

Authors and Contributors

Barnabas Reynolds

Partner

Financial Institutions Advisory & Financial Regulatory

+44 20 7655 5528

+44 20 7655 5528

London

Jo Rickard

Of Counsel

Litigation

+44 20 7655 5781

+44 20 7655 5781

London

Thomas Donegan

Partner

Financial Institutions Advisory & Financial Regulatory

+44 20 7655 5566

+44 20 7655 5566

London

Susanna Charlwood

Partner

Litigation

+44 20 7655 5907

+44 20 7655 5907

London