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EU Whistleblower Protection Directive Signals a Major Compliance Shift for Many EU Companies

European Union, United Kingdom - November 18 2019 On 7 October 2019, the European Council adopted the EU Whistleblower Protection Directive (the “Directive”). The Directive seeks to accomplish two…

Ben Bruton, Lisa Hatfield, Oliver Steeple, Peter Crowther, Sara Susnjar, Steven Grimes.

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…

Anuj Moudgil, 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…

Anuj Moudgil, 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…

Anuj Moudgil, 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…

Anuj Moudgil, Justin McClelland, Suzanne Labi.