November 30, 2020

Volume X, Number 335

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FCA Publishes New and Updated Whistleblowing Webpages

On October 21, the UK’s Financial Conduct Authority (FCA) published new and updated webpages relating to whistleblowing (the Webpages).

The Webpages discuss:

  1. when to report wrongdoing to the FCA, how the FCA protects the identities of whistleblowers and what the FCA will do with the information reported;

  2. the legal and FCA protection available to whistleblowers and how the information reported is handled;

  3. how to report wrongdoing to the FCA’s Whistleblowing Team and how the information reported is handled. The Webpages also include steps an individual should take before making a report; and

  4. the impact of whistleblowing information provided to the FCA in regulating its firms. Case studies are available on the Webpage to demonstrate how the FCA’s Whistleblowing team have previously handled reports and their outcomes.

The Webpages are available (1) here, (2) here, (3) here and (4) here.

©2020 Katten Muchin Rosenman LLPNational Law Review, Volume X, Number 297
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About this Author

Carolyn H. Jackson, International Attorney, Katten Muchin law firm
Partner

Carolyn Jackson is a partner in Katten Muchin Rosenman UK LLP and is a Registered Foreign Lawyer. She provides US financial regulatory legal advice to a broad range of market participants, including commercial banks, investment banks, investment managers, broker-dealers, electronic trading platforms, clearinghouses, trade associations and over-the-counter derivatives service providers.

Carolyn guides clients in the structuring and offering of complex securities, commodities and derivatives transactions and in complying with US securities and commodities laws...

+44 0 20 7776 7625
Nathaniel Lalone, Katten Muchin Law Firm, Financial Institutions Attorney
Senior Associate

Nathaniel Lalone, a partner at Katten Muchin Rosenman UK LLP, has a broad range of experience in the regulation of financial products and financial markets, and frequently provides regulatory and compliance advice to trading venues, clearing houses and buy-side firms active in the over-the-counter (OTC) derivatives, futures and securities markets. He is actively involved in advising clients on the implementation of MiFID 2 and MiFIR in the European Union as well as the international reach of US financial services regulation. He also has significant experience with structuring...

+44 0 20 7776 7629
Neil Robson, private equity fund managers counselor, Katten Law Firm, London
Partner

Neil Robson, a regulatory and compliance partner with Katten Muchin Rosenman LLP, focuses his practice on counseling hedge and private equity fund managers and other investment advisers on operational, regulatory and compliance issues. He regularly addresses Financial Conduct Authority (FCA) and EU authorization and compliance under both the EU Alternative Investment Fund Managers Directive (AIFM Directive) and MiFID, cross-border issues in the financial services sector, market abuse, anti-money laundering and regulatory capital requirements, formations and buyouts of...

44-0-20-7776-7666
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