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Results: 1-10 of 122

Registering the effects of the MLRs

  • RPC
  • -
  • United Kingdom
  • -
  • March 26 2015

A recent case is a stark reminder of the wide-reaching impacts of the Money Laundering Regulations 2007. An estate agent's inadvertent failure to

Solicitors beware! Fraudsters want your client account!

  • RPC
  • -
  • United Kingdom
  • -
  • July 24 2014

A solicitor's client account has long been a target for fraudsters. With the universal use of online banking by solicitors, concern over computer

Can you lack integrity without being dishonest?

  • RPC
  • -
  • United Kingdom
  • -
  • February 16 2011

An odd decision was published in a recent FSA Final Notice that found a firm and one of its individual accountants acted without integrity but not dishonestly

Battle lines drawn as High Court supports FCA collective investment scheme finding

  • RPC
  • -
  • United Kingdom
  • -
  • February 21 2014

Further judicial guidance has been provided on unauthorised collective investment schemes ("CISs"). In FCA v Capital Alternatives Limited and others

Hong Kong legal market sees tighter AML regulations and the introduction of LLPs

  • RPC
  • -
  • Hong Kong
  • -
  • February 5 2015

Solicitors’ firms in Hong Kong are required to have professional indemnity insurance. That insurance is provided by the Solicitors Indemnity Fund

The fraudsters are back they never left!

  • RPC
  • -
  • United Kingdom
  • -
  • February 20 2015

In July 2014 we warned about fraudsters targeting solicitors to gain access to their client account (click here to read). On 19 February 2015 the Law

Financial hardship no defence if self-induced: warning - tribunal can increase penalty

  • RPC
  • -
  • United Kingdom
  • -
  • November 26 2010

The Upper Tribunal increased a financial penalty imposed by the FSA on an individual for insider dealing despite pleas of financial hardship

Regulator gets its Tiger in HK

  • RPC
  • -
  • Hong Kong, India, United Kingdom
  • -
  • January 8 2014

Readers of my previous blogs (dated 30 April, 23 May and 18 July 2013) will have followed the Securities and Futures Commission's pursuit of insider

Financial litigation roundup - Summer 2014

  • RPC
  • -
  • Hong Kong, United Kingdom
  • -
  • June 24 2014

The Financial Conduct Authority (FCA) and the German financial markets regulator, BaFin, are currently investigating manipulation of the “London gold

Financial litigation roundup - Autumn 2014

  • RPC
  • -
  • Hong Kong, Singapore, United Kingdom
  • -
  • December 3 2014

The High Court found that the defendants, Barclays and Tricorona, had misused the claimant, CF Partners’, confidential information and awarded