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Article

Winston & Strawn LLP | USA, United Kingdom | 28 Jan 2019

Financial Services Update, Vol. 14, Issue 4

Last week, the Pennsylvania Department of Banking and Securities (“DoBS”) released guidance (“Guidance”) on the applicability of Pennsylvania’s Money

Article

Freshfields Bruckhaus Deringer | USA, United Kingdom | 16 Jan 2019

SEC brings charges in cybersecurity case against hackers of material non-public information

Yesterday, the Securities and Exchange Commission (SEC) announced charges against nine defendants for participating in a scheme to hack into the SEC’s

Article

Macfarlanes LLP | United Kingdom | 19 Dec 2018

FCA finalised guidance on financial crime systems and controls: insider dealing and market manipulation

Following feedback received from its guidance consultation, GC181, the FCA has published "Finalised Guidance on financial crime systems and controls:

Article

RPC | United Kingdom, Global | 12 Nov 2018

Securities Litigation in the United Kingdom

A structured guide to securities litigation in the United Kingdom

Article

Macfarlanes LLP | United Kingdom | 10 Oct 2018

FCA’s annual enforcement and performance report

The FCA has published its annual enforcement and performance report 201718 which provides an insight into the FCA's enforcement activities during

Article

Gowling WLG | United Kingdom | 18 Sep 2018

FCA's approach to supervision

The Financial Conduct Authority (FCA) has a very broad range of regulatory responsibilities. It regulates around 58,000 firms ranging from small high

Article

Burges Salmon LLP | United Kingdom | 25 Jun 2018

FCA update: periodic financial information and inside information

The UK’s Financial Conduct Authority (FCA) has published a special edition of the Primary Market Bulletin to consult on a proposed update to its

Article

Bryan Cave Leighton Paisner (BLP) | United Kingdom | 12 Jun 2018

FCA consults on periodic financial reports and inside information

The FCA has published Primary Market Bulletin No.19 consulting on revised guidance on periodic financial information and inside information

Article

Womble Bond Dickinson (UK) LLP | United Kingdom | 18 Apr 2018

FCA plans financial crime guide update

It's been quite some time since FCA updated its Financial Crime guide (FC). The guide, introduced in 2011, and last significantly updated a few years

Article

Latham & Watkins LLP | United Kingdom | 28 Mar 2018

FCA Proposes New Guidance on Financial Crime Systems and Controls

The FCA proposes to add a new Chapter 8 to Part 1 of its Financial Crime Guide, outlining the FCA’s observations of good and bad practice regarding

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