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27 results found

Article

Cadwalader Wickersham & Taft LLP | United Kingdom | 8 May 2019

FCA Issues First Ever Antitrust Charges

On 29 November 2017, the UK Financial Conduct Authority (FCA) issued a Statement of Objections (i.e. Charges) against four asset

Article

Cadwalader Wickersham & Taft LLP | United Kingdom, European Union | 11 Mar 2019

Shareholder Engagement with UK Companies - Proposed Changes to the Stewardship Framework

Two UK regulatory bodies are currently consulting on rules relating institutional shareholders’ engagement with and stewardship of their investee

Article

Cadwalader Wickersham & Taft LLP | United Kingdom | 6 Feb 2019

FCA Issues First Ever Fine Against Individual Based on Antitrust Misconduct

On 4 February 2019, the UK Financial Conduct Authority (FCA) imposed a £32,000 fine on Paul Stephany, a former fund manager at Newton Investment

Article

Cadwalader Wickersham & Taft LLP | USA | 16 Jul 2018

Are All ‘Medical Necessity’ Determinations Subject to False Claims Act Liability? Opinions May Differ.

Two federal appellate-court decisions handed down in the past few weeks have generated much speculation about whether “medical necessity”

Article

Cadwalader Wickersham & Taft LLP | USA, United Kingdom | 26 Jul 2017

US Second Circuit Finds Testimony Compelled by UK Regulators to be Inadmissible in Criminal Proceedings

Creating a potential new impediment for collaboration between UK and US investigators, the Court of Appeals for the Second Circuit in New York

Article

Cadwalader Wickersham & Taft LLP | United Kingdom | 14 Oct 2015

UK Financial Conduct Authority issues final rules concerning whistleblowers

On October 6, 2015, the UK Financial Conduct Authority ("FCA") issued final rules formalizing whistleblower procedures to be implemented by certain

Article

Cadwalader Wickersham & Taft LLP | United Kingdom | 11 Sep 2015

FCA and Ofgem question adequacy of commodity firms’ compliance and market abuse controls

In the most recent edition of its regular market conduct and transaction reporting-focused ‘Market Watch’ publication, the UK Financial Conduct

Article

Cadwalader Wickersham & Taft LLP | United Kingdom | 20 Aug 2014

Finally certainty about licensing SPVs under the FCA consumer credit regime

From 1 April 2014, responsibility for the regulation of consumer credit in the UK was transferred from the Office of Fair Trading ("OFT") to the

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