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Director of supervision for the FCA delivers speech on theimportance of culture as the driving behaviour of firms and how the FCA will assess this
  • Mayer Brown LLP
  • United Kingdom
  • May 9 2013

In his speech at the UK Professionals Conference, Adamson highlighted 'culture' as underpinning the problem faced by firms and as the key attribute


Beyond law: understanding the scope of conduct regulation
  • Norton Rose Fulbright LLP
  • United Kingdom
  • April 16 2014

Increasingly regulators are asking firms to improve their 'conduct'. Conduct regulation has become a hot topic but does anyone really understand what


Financial Regulatory Developments 11 April - Cases
  • Dentons
  • United Kingdom
  • April 11 2014

The High Court has held a preliminary hearing in a case FCA brought against the promoters and operators of four investment schemes. The question was


This week in securities litigation (week ending April 4, 2014)
  • Dorsey & Whitney LLP
  • Australia, Hong Kong, United Kingdom, USA
  • April 3 2014

High speed trading and insider trading were key topics this week. Author Michael Lewis released a new book on high speed trading and, in an interview


Moving the goal posts on what is a fund
  • AO HALL Advocates
  • United Kingdom
  • July 16 2014

What is a fund? This question may be simple, but it is important to alternative investments because a fund (collective investment scheme) faces a


Financial Services Ombudsman Adopts New Dispute Resolution Model
  • Matheson
  • United Kingdom
  • October 24 2016

Earlier this year, the Financial Services Ombudsman (“FSO”) completed a strategic and operational review of its procedures, which has resulted in a


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


International regulatory update - 27 31 October 2014
  • Clifford Chance LLP
  • South Korea, United Kingdom, USA, European Union, Global, Hong Kong, India, Luxembourg, Singapore, China
  • November 4 2014

The European Banking Authority (EBA) has published the results of the 2014 EU-wide stress test of 123 banks. In addition, the European Central Bank


Global anti-corruption insights - Winter 2015
  • Arnold & Porter Kaye Scholer LLP
  • Global, United Kingdom, USA
  • February 27 2015

The Department of Justice and the Securities and Exchange Commission continued their focus on the Foreign Corrupt Practices Act in 2014, resolving


Commercial Court: Argentine debt fund subject to English law
  • Joseph Hage Aaronson LLP
  • Argentina, United Kingdom
  • February 20 2015

On 13 February 2015 the Commercial Court (Richards J) granted the claimants (who were investment funds interested in euro-denominated debt securities