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Avoiding Unwanted Attention: How to fulfil your personal regulatory duties
  • Berwin Leighton Paisner LLP
  • United Kingdom
  • December 8 2016

A detailed understanding of your personal regulatory duties is crucial for avoiding unwanted attention from the regulator. Adam Jamieson sets


Trends in Regulatory Enforcement in UK Financial Markets 201617 Mid-Year Report
  • NERA Economic Consulting
  • United Kingdom
  • December 8 2016

Both the number and monetary value of FCA fines slowed to a trickle in the first half of the 201617 financial year (ended 30 September 2016), with


Service of contractual notices under standard form financial contracts - lessons to learn
  • Dentons
  • United Kingdom
  • December 6 2016

Where a contract sets down requirements for the service of notices under it, it is essential to comply with them strictly. Lord Hoffman famously said


General Counsel Update - November 2016
  • Herbert Smith Freehills LLP
  • Australia, European Union, Hong Kong, United Kingdom
  • November 24 2016

The outcome of the June 2016 Brexit referendum raised many significant questions of concern to business. We began our Brexit analysis 18 months before


Senior Managers Regime for the buy-side: looking to the past to predict the future
  • Macfarlanes LLP
  • United Kingdom
  • November 16 2016

The Senior Managers & Certification Regime (SM&CR) will apply to buy-side firms in 2018 to assist the regulators in holding senior management to


2016 Proskauer Annual Review and Outlook for Hedge Funds, Private Equity Funds and Other Private Funds
  • Proskauer Rose LLP
  • European Union, Hong Kong, Ireland, OECD, United Kingdom, USA
  • November 15 2016

On March 10, 2016, the Office of Compliance Inspections and Examinations (OCIE) of the U.S. Securities and Exchange Commission (SEC) released a


Beyond Brexit: Visions of a post-2020 world
  • Freshfields Bruckhaus Deringer LLP
  • European Union, Global, United Kingdom
  • November 14 2016

Uncertainty is said to be the enemy of business, and the Brexit referendum has created plenty of doubt about what the future may hold. As the UK and


Governance & Compliance update - 10 November 2016
  • Addleshaw Goddard LLP
  • European Union, United Kingdom
  • November 10 2016

The government has published a draft of the Companies, Partnerships and Groups (Accounts and Non-Financial Reporting) Regulations 2016 (Regulations


Incontact - 10 November 2016
  • Addleshaw Goddard LLP
  • United Kingdom
  • November 10 2016

Statistics from The UK Cards Association show that £54.3 billion was spent on payment cards in August 2016, an increase of 4.2 on last year


FCA continues enforcement trend in consumer credit sector
  • Burges Salmon LLP
  • United Kingdom
  • November 10 2016

The Financial Conduct Authority (FCA) has prohibited the director of Wage Payment and Payday Loans Ltd ("WPPL"), Andrew Barry Hart, from performing