Recent FCA Enforcement Actions - A Bite-Sized Update

Introduction

The FCA has vowed to be a tough and assertive regulator.

Two recent enforcement actions, relating to the financial promotion regime and senior manager misconduct, illustrate what that approach means for firms and senior managers.

This short webinar is suitable for senior managers at FCA-authorised firms, compliance professionals and regulatory lawyers.

What You Will Learn

This webinar will cover the following:

• Second Supervisory Notice re: Freetrade Ltd, February 2022, requiring the firm to remove all paid for sponsored influencer advertisements and posts across all social media platforms
• Final Notice re: Timothy Haywood, March 2022, imposing a fine for conduct breaches, including failing to act with due skill, care and diligence

This webinar was recorded on 21st April 2022