Articles

Results 1 to 5 of 21


Tackling economic crime and sanctions evasion

United Kingdom - March 8 2022 The draft Economic Crime Bill is now on its way to the House of Lords, having received cross-party approval in the House of Commons…

New SFO guide to DPAs: material change, or confirmation of approach?

United Kingdom - October 28 2020 Last week, the Serious Fraud Office (SFO) published a comprehensive guide to its approach to Deferred Prosecution Agreements (DPAs). Sam Tate, Head of…

Sam Tate

SMCR: The tricky implementation phase

United Kingdom - July 9 2020 The Senior Managers and Certification Regime (SMCR) came into force for all financial services firms solo-regulated by the Financial Conduct Authority…

Back to Brexit - House of Lords EU Financial Affairs Committee recommendations on financial services after Brexit

European Union, United Kingdom - April 1 2020 The House of Lords EU Financial Affairs Committee has published recommendations on the financial services industry post-Brexit. The Committee…

The Senior Managers and Certification regime: The Final Countdown

United Kingdom - August 8 2019 With only a few months to go until the Senior Managers and Certification Regime (SMCR) is extended to apply to all sole-regulated firms, the FCA has…