Round two: The FCA and the name and shame debate

‘The FCA should be careful what it wishes for’

clock • 4 min read

Lawyer Daren Allen looks at the ongoing FCA name and shame debate and warns the regulator should be careful what it wishes for on this particular issue...

In February 2024, the Financial Conduct Authority (FCA) began a consultation on improving transparency around regulatory enforcement cases. In particular, the FCA indicated that it wanted to be more transparent when opening and closing cases. By doing this it wanted to enhance public confidence. The reference to transparency would involve publicly announcing when enforcement investigations had been opened which would include identifying the firm under investigation. The FCA has indicated that this approach is consistent with that of other regulators (both UK and overseas) who regul...

To continue reading this article...

Join Professional Adviser for free

  • Unlimited access to real-time news, industry insights and market intelligence
  • Stay ahead of the curve with spotlights on emerging trends and technologies
  • Receive breaking news stories straight to your inbox in the daily newsletters
  • Make smart business decisions with the latest developments in regulation, investing retirement and protection
  • Members-only access to the editor’s weekly Friday commentary
  • Be the first to hear about our events and awards programmes

Join

 

Already a Professional Adviser member?

Login

More on Regulation

FCA warns on loan notes and mini-bond investment risks

FCA warns on loan notes and mini-bond investment risks

Urges consumers to be wary of high-risk investments

Jenna Brown
clock 20 August 2026 • 2 min read
SVS Securities CEO banned and fined

SVS Securities CEO banned and fined

Demetrios Hadjigeorgiou barred from working in senior management positions

Jenna Brown
clock 20 August 2026 • 2 min read
Suitability rules overhaul: Why firms should engage now, not later

Suitability rules overhaul: Why firms should engage now, not later

'The bigger shift is philosophical, not just structural'

Marjolaine Quirke
clock 19 August 2026 • 3 min read