Gregory Brandman
Eversheds Sutherland (International) LLP
Articles
Regulators’ approach to enforcement - an international comparison
Hong Kong, United Kingdom, USA - July 15 2019 Litigation and dispute management On 9 July 2019, the United Kingdom’s Financial Conduct Authority (FCA) published its latest Enforcement annual…
Adam Berry, Jake McQuitty, John Siu, Duncan Watt, Lewis S. Wiener, Manwa Yip
DP16/4: How will the FCA apply SMF 18 (Other Overall Responsibilities) to the Legal Function ?
United Kingdom - October 12 2016 The FCA's rules require that a senior manager must have overall responsibility for every activity, business area or management function in a relevant…
Applying conduct rules to all Non-Executive Directors in the Banking and Insurance sectors
United Kingdom - October 11 2016 The FCA and PRA have issued a number of consultation, discussion and policy statements on SM&CR related matters. We have summarised the consultation…
The Duty of Responsibility for Senior Managers: Converting Form into Substance
United Kingdom - October 10 2016 On 3 October 2016, the FCA issued consultation paper CP16/26 on guidance on the "duty of responsibility" (the Duty) on Senior Managers (SMF Managers)…
Simon Collins, Andrew Henderson, David Saunders, Michaela Walker
The FCA’s BREXIT statement: An incomplete explanation of the short term legal impact on UK financial services?
European Union, United Kingdom - June 28 2016 On the morning of the Referendum result, the Financial Conduct Authority issued a statement on BREXIT. It included the following: "Much financial…
