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I am concerned a colleague of mine is disclosing confidential, market-sensitive information to a family member. How should I raise this?
  • Kingsley Napley
  • United Kingdom
  • October 20 2016

If you have a genuine concern that your colleague may be disclosing market-sensitive information outside the scope of their role, you should consider

Governance & Securities Law Focus: Europe Edition, October 2016
  • Shearman & Sterling LLP
  • Germany, Hong Kong, Italy, United Kingdom, USA
  • October 17 2016

On 15 September 2016, the European Parliament resolved to adopt amendments to the European Commission's proposal for a new Prospectus Regulation to

Healthy mid-market lending
  • King & Wood Mallesons
  • United Kingdom
  • October 12 2016

As I reach 20 years of advising on debt financing transactions, in particular leveraged acquisition financing, I am going to stick my neck out and

White Collar Defense & Investigations - October 2016
  • Weil Gotshal & Manges LLP
  • United Kingdom, USA
  • October 14 2016

This round-up contains a summary by sector of certain key global regulatory developments which occurred during the third quarter of 2016. The sectors

International Trade Compliance Update - September 2016
  • Baker & McKenzie
  • United Kingdom, USA, Australia, Canada, European Union
  • September 7 2016

On 19 August 2016, the Russian Federation notified the WTO that it intends to initiate negotiations pursuant to Paragraph 1143 of the Working Party

50 Predictions: Directors’ & Officers’ and Financial Institutions
  • DAC Beachcroft
  • United Kingdom
  • September 1 2016

While historically shareholder actions against directors in the UK have been limited, as directors owe their duties to the company and not to the

Wall crossings and insider dealing Financial Services Authority levies the second highest ever fine against Greenlight Capital hedge fund trader David Einhorn
  • Hogan Lovells
  • United Kingdom
  • February 1 2012

On 12 January 2012, the Financial Services Authority ("FSA") levied its second highest ever fine of £3,638,000 against US hedge fund trader David Einhorn and a fine of £3,650,795 against Greenlight Capital Inc for market abuse

FinTech in Canada
  • McCarthy Tétrault LLP
  • Australia, Canada, China, France, United Arab Emirates, United Kingdom, USA, Germany, Global, Hong Kong, India, Singapore, Switzerland
  • September 22 2016

So what is FinTech? The phrase “FinTech”, first coined by a New York banker in 1972, refers to the intersection of technology and Financial services

Rise of the RegTech industry
  • Burges Salmon LLP
  • United Kingdom
  • October 20 2016

Regulatory compliance is a costly and time-consuming activity. The spread and variety of information that must be tracked, collated and reported on

FSA bans and fines trader for unauthorized “pre-hedging”
  • Katten Muchin Rosenman LLP
  • United Kingdom
  • May 29 2009

The UK Financial Services Authority (FSA) announced on May 26 that it had banned and fined trader Nilesh Shroff for deliberately disadvantaging his customers on seven occasions between June and October 2007 by partially "pre-hedging" program trades without the clients’ consent