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575 results found

Article

McCarthy Tétrault LLP | United Kingdom, Canada | 23 May 2018

Lessons in Responding to Whistleblower Complaints from Recent UK Settlement

The UK’s Financial Conduct Authority (FCA) and the Prudential Regulation Authority (PRA) recently reached a settlement with the CEO of Barclays Group

Article

4 New Square Chambers | United Kingdom | 8 Mar 2018

Burns v Financial Conduct Authority 2017 EWCA Civ 214: a sign of things to come?

Directors' duties, procedural fairness and issue based costs; the Court of Appeal decision sheds light on several aspects of financial regulatory

Article

Corker Binning | United Kingdom | 5 Mar 2018

Battle over Conflicts of Interest

One product of an adversarial legal system is that, whilst someone always has to lose, someone else always has to win. The Court of Appeal’s judgment

Article

Katten Muchin Rosenman LLP | USA | 15 Dec 2017

FCA Publishes “Dear CEO” Letter on Payment for Order Flow

On December 13, the UK Financial Conduct Authority (FCA) published a "Dear CEO" letter expressing its concerns over the practice of brokers demanding

Article

Macfarlanes LLP | United Kingdom, European Union | 10 Nov 2017

Law Society and CLLS update Q&A on Market Abuse Regulation

The Law Society and the City of London Law Society Company Law Committees have updated their Q&A on the Market Abuse Regulation (the "Q&A") (This

Article

Morrison & Foerster LLP | USA, United Kingdom, European Union, etc. | 31 Aug 2017

Replacing familiar benchmarks: preparations to phase out the IBORs

Long a mainstay of the financial world, the floating "IBOR" rates, based on the rates of actual or purported interbank offered loans, are now being

Article

Katten Muchin Rosenman LLP | USA, United Kingdom | 30 Jun 2017

FCA Publishes Final Report on Asset Management Market Study

On June 28, the Financial Conduct Authority (FCA) published its final report after its asset management market study (Study), which began in November

Article

Jones Day | United Kingdom | 22 May 2017

FCA Announces Review on Availability of Information Before IPO

On 1 March 2017, the FCA published a consultation paper proposing a number of policies aimed at improving the information made available to investors

Article

Bryan Cave Leighton Paisner (BLP) | United Kingdom | 16 Dec 2016

FCA launches market study into residential mortgages

Financial services firms are increasingly under the FCA’s competition law spotlight. The residential mortgages sector is the latest area to be

Article

Weil Gotshal & Manges LLP | USA, United Kingdom | 14 Oct 2016

White Collar Defense & Investigations - October 2016

This round-up contains a summary by sector of certain key global regulatory developments which occurred during the third quarter of 2016. The sectors

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