全球最大的跨国公司和机构依赖本所协助其在应对瞬息万变的世界格局时作出正确决策。
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The FCA yesterday published its revised proposals to publicise enforcement investigations. Reactions to the original proposals both from industry and market participants and bodies, and from the highe...
Author(s): Lucy Clark
A recent UK FCA decision highlights the FCA’s expectation that, in certain circumstances, issues relating to the conduct of senior managers outside and unrelated to the workplace should nevertheless b...
Author(s): Ali Sallaway, Christopher Robinson, Sophie Horton
On 6 November 2024, the UK Government published final guidance on what constitute reasonable prevention procedures (the “Guidance”), on which organisations can seek to base a defence to the recently i...
Author(s): Matthew Bruce, Ben Morgan, Ali Sallaway, Emily Knight, Laura Feldman, Caroline Doherty de Novoa
In a recent decision, the UK Court of Appeal confirmed that the FCA can impose a redress requirement on an FCA-regulated firm without meeting the pre-conditions for a statutory market-wide redress sch...
Author(s): Christopher Robinson, Sharon Grennan, Juliet Leung
UK financial services enforcement round-up, and looking ahead to 2024
De-banking: Difficult decisions
UK enforcement round up and looking ahead to 2023
Hong Kong regulatory enforcement trends – annual review and look ahead
Record fines, but fewer actions: Hong Kong regulatory enforcement in 2020
UK Financial services enforcement round up and looking ahead
UK enforcement round up and looking ahead
FS market conduct: A look at market manipulation enforcement in the US, Hong Kong and Germany
