FCA Seek More Investigations

  • Monique Melis , Managing Director at Duff & Phelps

  • 19.06.2017 07:30 am
  • undisclosed , Monique Melis is the Managing Director of Duff & Phelps’ Compliance & Regulation consulting practice. She specializes in regulatory advice and has worked with the FCA, the SFA and various types of investment and asset management firms over the course of her career. Prior to her time at Duff & Phelps, Monique headed up the consulting team at Kinetic Partners.

Though individuals will remain firmly under the spotlight this year, with both the Libor and FX scandals resolved the regulator has softened its approach to enforcement action on big business. The days of colossal fines are therefore behind us – for the moment at least. That said, people should sit up and take notice of Mr Symington’s speech as there is little to suggest that there won’t be severe consequences for those who don’t follow the rules. After all, further investigations will likely lead to even more intense scrutiny on individuals.

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