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401 results found

Article

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

Article

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

Article

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

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

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

Article

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

Article

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

Article

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

Article

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

Article

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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