FCA has active pipeline of misconduct investigations

Cuffed white collar crime attracts low tariffs

Tom Osborn
James Ryder
25 Sep 2019

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Since the UK’s Senior Managers and Certification Regime (SMCR) was implemented in 2016, there has been much carping about its failure to lead to a rise in high-profile scalps of individuals found guilty of significant wrongdoing in the financial industry. But the Financial Conduct Authority has plenty of live investigations pending into senior individuals suspected of “serious misconduct”, according to a senior regulator.

David Blunt, head of conduct specialists at the watchdog – in charge of

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