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Richard Powell

Baker McKenzie

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Financial Services - Enforcement News January 2018

United Kingdom - January 12 2018 Overall 2017 was a quieter year for enforcement (judged by published cases). The FCA imposed 13 fines in 2017 compared to 23 fines in 2016 and 40 in...

David McCarthy, Arun Srivastava, Mark Simpson.


No Leniency shown to first AIM Issuer fined by the FCA under the Market Abuse Regulation

United Kingdom - December 20 2017 The Financial Conduct Authority (FCA) has brought its first enforcement action under the EU Market Abuse Regulation (MAR), which has had direct...

Helen Bradley, Robert E. Adam, Laura Bentham, Roger I. James, David McCarthy, Arun Srivastava, Mark Simpson.


MiFID II and APAC: How Far Does the Legislation Reach?

Asia-Pacific, United Kingdom, European Union - November 3 2017 MiFID II, the EU’s revised Markets in Financial Instruments Directive and new Markets in Financial Instruments Regulation (MiFIR), comes into effect...

Audrey Fairhall, Arun Srivastava, Mark Simpson, Karen H.Y. Man, Stephanie Magnus.


New Corporate Offences of Failing to Prevent the Facilitation of Tax Evasion: Ten Frequently Asked Questions

United Kingdom - November 2 2017 The Criminal Finances Act 2017 (CFA) is now on the statute book and it will hold firms criminally liable where employees or their "associates"...

David McCarthy, Arun Srivastava, Mark Simpson.


MiFID II and APAC: How Far Does the Legislation Reach?

Asia-Pacific, United Kingdom, European Union - October 16 2017 MiFID II, the EU's revised Markets in Financial Instruments Directive and new Markets in Financial Instruments Regulation (MiFIR), comes into effect...

Audrey Fairhall, Arun Srivastava, Mark Simpson, Stephanie Magnus, Karen Man.