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What, MeToo???
  • Shawe Rosenthal LLP
  • USA
  • September 26 2018

It has become an all too familiar story in this age of MeToo (although this one has a twist, as you’ll see below): a supervisor using managerial

The UK Corporate Governance Code 2018
  • Bird & Bird
  • United Kingdom
  • September 20 2018

Following on from the Financial Reporting Council's ("FRC") consultation on its proposed changes to the UK Corporate Governance Code in February this

Widening the net - SMR extended to FCA solo-regulated firms
  • Freshfields Bruckhaus Deringer
  • United Kingdom, European Union
  • July 23 2018

Under new near final rules published this month, the Senior Managers regime (SMR) will apply to FCA solo-regulated

Effective Compliance Programs Require a Commitment from the Top
  • Jackson Lewis PC
  • USA
  • July 12 2018

We follow the leader wherever we go, and that applies to compliance, as well. While federal and state laws require organizations to adopt compliance

A new landscape for financial services firms - FCA publishes near final rules on extending the senior managers and certification regimes
  • Penningtons Manches LLP
  • United Kingdom, European Union
  • July 12 2018

Last week, the FCA published its near final rules on extending the Senior Managers and Certification Regime (SM&CR) to all FCA solo-regulated firms

Letter from the Hill to the SEC on Buybacks
  • Mayer Brown
  • USA
  • July 2 2018

As we discussed in a prior post, Commissioner Jackson has spoken out on transactions undertaken by public company executives in close proximity to

Diversity and Inclusion in the Workplace: Don’t Get Left Behind
  • Fasken
  • Canada
  • June 19 2018

In 2017, of the 100 highest-paid CEOs in Canada, three were women and five were named Paul. It is not a secret that diversity and inclusion are

The Senior Managers and Certification Regime for Insurers - How the regime will affect your business and what to do next
  • Hogan Lovells
  • United Kingdom
  • June 13 2018

The Senior Managers and Certification Regime ("SMCR"), which currently governs the appointment, responsibilities and conduct of senior personnel at

AMLCFT Compliance A Key Focus of Recent Supervisory Inspections By The Hong Kong Insurance Authority
  • Herbert Smith Freehills LLP
  • Hong Kong
  • June 5 2018

In its recent onsite inspections of authorised insurers carrying on long term business, the IA identified the following key areas in which improvement is required:

Between a Rock and a Hard Place: SEC Disclosure Analysis in Light of the Yahoo Settlement
  • McGuireWoods LLP
  • USA
  • May 8 2018

On April 25, the Securities and Exchange Commission announced a settlement with Yahoo that constituted its first enforcement action against a public