Michael Sholem
Davis Polk & Wardwell LLP
Articles
EU Overview
European Union - December 5 2019 Since the 2008 financial crisis, there has been a pronounced shift towards concentration of power and influence at the EU level, away from the…
Compliance programmes for financial services firms in United Kingdom
United Kingdom - April 29 2019 An overview of practical considerations for financial services firms when implementing compliance programmes in United Kingdom, including primary requirements, director duties and standards of customer care.
Financial Services Compliance in the United Kingdom
United Kingdom - April 29 2019 A structured guide to financial services compliance in the United Kingdom
Enforcement of financial services regulations in United Kingdom
United Kingdom - April 29 2019 A quick look at how the authorities in United Kingdom enforce financial services regulations, including through investigations and penalties.
Financial Services Compliance in the United Kingdom
United Kingdom - March 28 2019 A structured guide to financial services compliance in the United Kingdom
