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Legal News

Investigations & Enforcement Trends 2023—a perfect storm for regulatory enforcement

Published on: 26 January 2023

Table of contents

  • Introduction
  • AML Systems and Controls
  • Sanctions
  • Market Abuse
  • Resilience
  • Affordability
  • Unauthorised Communication Channels
  • Cryptocurrencies
  • ESG
  • Non-Financial Misconduct
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Article summary

Financial Services analysis: Tracey Dovaston, partner, and Alessia de Quincey, counsel, of Pallas Partners LLP, consider the investigations and enforcement trends which have generated attention in the past year and highlight the trends they expect to see in 2023 revolving around financial crime, operational resilience, cryptocurrencies, ESG, culture, non-financial misconduct, and increased focus on affordability and vulnerability against the backdrop of the implementation of the Consumer Duty.

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