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SMR comes into force

United Kingdom - March 11 2016 On 7 March 2016, the Senior Managers Regime (SMR) and the Senior Insurance Managers Regime (SIMR) came into force. On the same day, the FCA and PRA…

Bibi Sarraf-Yazdi, Justin McClelland, Suzanne Labi.

Tom Hayes denied permission to appeal LIBOR conviction

United Kingdom - March 11 2016 On 8 March 2016, the Court of Appeal denied an application made by Tom Hayes (the former derivatives trader convicted for offences related to the…

Bibi Sarraf-Yazdi, Justin McClelland, Suzanne Labi.

National Audit Office publishes report on mis-selling

United Kingdom - March 11 2016 On 24 February 2016, the National Audit Office (NAO) published a report on the effectiveness of the current system of redress for misselling…

Bibi Sarraf-Yazdi, Justin McClelland, Suzanne Labi.

FCA fines W H Ireland Limited and imposes restriction on taking on new clients

United Kingdom - March 11 2016 On 22 February 2016, the FCA issued a final notice against WH Ireland Limited (WHI), a stock broker and wealth manager, imposing a £1.2 million fine…

Bibi Sarraf-Yazdi, Justin McClelland, Suzanne Labi.

Sweett Group PLC sentenced following Bribery Act conviction

United Kingdom - March 11 2016 On 19 February 2016, Sweett Group PLC (Sweett), a construction and professional services company, was sentenced to pay a fine of £2.25 million…

Bibi Sarraf-Yazdi, Justin McClelland, Suzanne Labi.