Katharine Harle

Dentons

Legal Influencer

Q2 | 2019

Legal Influencers

Lexology’s Legal Influencers programme recognises firms and authors that provide excellent content within a work area and region. Find out more

Articles

Results 1 to 5 of 172
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Money laundering: electronic verification of customer identity in the time of COVID-19

United Kingdom - April 30 2020 With lockdown currently in place and the prospect of many months of social distancing measures even after it has been lifted, many firms are rapidly…

Daren Allen, Marija Brackovic.

The long arm of FSA

United Kingdom - August 8 2012 Recent actions by FSA against firms with overseas head offices, and approved persons working in those firms, should sound warning bells to all FSA-authorised firms with an international client base for whom a UK presence serves greater global needs.

Regulators give evidence on IT and systems failures

United Kingdom - August 12 2019 Representatives of the Financial Conduct Authority (FCA), Prudential Regulation Authority (PRA) and the Bank of England recently gave evidence to the…

Celyn Armstrong, Craig Neilson, Jonathan Garforth, Tristan Jonckheer.

Six weeks to go: frequently asked questions on the new conduct rules breaches report

United Kingdom - September 18 2020 All authorised firms must notify the FCA, by the end of October, of certain Disciplinary action taken against their staff. We seek to answer some of…

Celyn Armstrong, Craig Neilson.

Latest FCA rules and guidance: SMCR, remuneration and whistleblowing

Global, United Kingdom - May 8 2017 On 3 May the FCA published a series of policy statements tidying up aspects of the senior managers and certification regime (SMCR) for banks and…

Celyn Armstrong, Ryan Carthew, Virginia K Allen.