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Podcast: Compliance Clarified – a podcast by Thomson Reuters Regulatory Intelligence
Episode: Series 9, Episode 1: UK Financial Conduct Authority's enforcement arm: "all bases covered" or "highly unsatisfactory"?
Description: Compliance Clarified's first episode of season 9 brings together Alexander Robson, managing editor, Helen Parry, senior regulatory expert and Rachel Wolcott, senior editor to discuss the state of UK Financial Conduct Authority's (FCA) enforcement and markets oversight division.Does it have "all bases covered" as Therese Chambers, its new co-executive director for enforcement said in a speech? Or is its approach and execution of enforcement cases, to use the words of an Upper Tribunal judge, "highly unsatisfactory"?Chambers and Steve Smart, the other co-executive director, have their work cut out for them. The 621-strong department is currently...