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Articles

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New Rules Released: Senior Managers and Certification Regime Extended to All Firms

United Kingdom - August 4 2017 The Financial Conduct Authority ("FCA") and Prudential Regulation Authority ("PRA") published their consultation papers on 26 July 2017 containing...

Christopher Fisher, Guy Wilkes, Angus Duncan.

Hand over documents related to internal investigations, says SFO

United Kingdom - June 2 2017 The High Court has held that documents prepared during an internal investigation are not protected by legal professional privilege ("LPP") and as such...

Chris Roberts, Guy Wilkes, Mark Compton, Alistair Graham.

Tesco in Trouble: Retailer Admits to Market Abuse on Top of SFO DPA

United Kingdom - April 10 2017 The Financial Conduct Authority ("FCA") issued a final notice against Tesco plc and Tesco Stores Limited (together "Tesco") on 28 March 2017 (the...

Guy Wilkes, Mark Compton.

Enforcement Process Shake Up: UK Regulators Announce Significant Changes

United Kingdom - February 17 2017 The Financial Conduct Authority (the "FCA") and the Prudential Regulation Authority (the "PRA") published the changes they will make to their...

Guy Wilkes, Mark Compton.

FCA Cracks Down on Retail CFDs in Consultation Paper

United Kingdom - January 13 2017 The Financial Conduct Authority's (the "FCA's") recent Consultation Paper 1640 ("CP1640") outlines policy proposals designed to boost investor...

Guy Wilkes, Dominic Griffiths, Chris Arnold, Mark Compton.