financial services

ShareSoc Evidence to Lords on FCA Enforcement

ShareSoc has submitted an evidence statement to the House of Lords Financial Services Regulation Committee regarding their consultation on the Financial Conduct Authority’s enforcement guidance proposals.  We reported here that we support the FCA’s proposals to improve the transparency of their enforcement actions.   The need for change was further underlined at a meeting between ShareSoc and the FCA on 14th November, at which we expressed concerns about a specific case.   Under the current regime, the FCA will not disclose whether it is taking, or ...

UKSA and ShareSoc Submission to Labour Party Review of Financial Services

  UKSA and ShareSoc have made the attached submission to the Labour Party’s review, highlighting the issues with the current financial services market that most concern us. 

Integrity and independence in the judiciary and the financial services industry: a comparative study

My thanks go to ShareSoc member Tony Johnson - for bringing to my attention, a recent lecture given to the Banking Standards Board by Sir Geoffrey  Vos, Chancellor of the High Court of England and Wales. In the lecture, Sir Geoffrey considers the present state of integrity of our financial institutions and our judiciary.  For those with plenty of time, you can read the full script of his lecture here -  https://www.judiciary.gov.uk/wp-content/uploads/2018/03/chc-speech-banking-standards-board-lecture.pdf For those with less time, I summarise below :   Sir Geoffrey is well-qualified ...