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Squire Patton Boggs | United Kingdom | 16 Apr 2019

FCA gives a final warning on misleading adverts

Back in January, the Financial Conduct Authority (“FCA”) published a letter to the CEOs of regulated firms warning them against misleading financial


Squire Patton Boggs | United Kingdom | 11 Apr 2019

Directors’ Remuneration - New Draft Regulations

The draft Companies (Directors' Remuneration Policy and Directors' Remuneration Report) Regulations 2019 (Draft Regulations) have been published as


Linklaters LLP | United Kingdom | 28 Mar 2019

UK - What happens if your CEO tweets tales of a takeover?

Elon Musk, the CEO of Tesla Inc, has been in hot water with the U.S. authorities recently after tweeting about a potential takeover bid for the


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


Mishcon de Reya LLP | United Kingdom | 15 May 2018

PRA and FCA Fine Barclays CEO Jes Staley Over Handling Of Whistleblowing

Following a joint FCA and PRA investigation Mr James Staley the CEO of Barclays Group has been fined a total of £642,430 for failing to act with due


Katten Muchin Rosenman LLP | USA | 13 May 2018

UK Bank Head Sanctioned Over US $1.5 Million Equivalent by Regulators and Employer for Potentially Undercutting Firm’s Whistleblower Process

James Staley, chief executive officer of Barclays Group, agreed to pay a fine of GB £642,430 (approximately US $870,000) to the United Kingdom's


Hogan Lovells | United Kingdom | 10 May 2018

FCA sends message to CEOs regarding irredeemable preference shares

On 19 April 2018, the Financial Conduct Authority (the FCA) published a letter to CEOs of listed companies regarding irredeemable preference shares


Katten Muchin Rosenman LLP | USA | 23 Feb 2018

FCA Publishes “Dear CEO” Letter on Quality of Prudential Regulatory Returns

On February 19, the UK’s Financial Conduct Authority (FCA) published a “Dear CEO” letter that it recently sent to IFPRU investment firms and BIPRU


Mayer Brown | United Kingdom | 13 Jan 2017

FCA Cracks Down on Retail CFDs in Consultation Paper

The Financial Conduct Authority's (the "FCA's") recent Consultation Paper 1640 ("CP1640") outlines policy proposals designed to boost investor


Winston & Strawn LLP | USA, Ireland | 3 Oct 2016

Financial Services Update, Vol 11, Issue 36

In a September 21, 2016 complaint filed in federal district court in Philadelphia, the Securities and Exchange Commission (“SEC”) charged Leon

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