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TLT LLP | United Kingdom, European Union | 27 Nov 2018

Financial services regulation round-up - November 2018

On 31 October 2018 the Financial Conduct Authority (FCA) published a Discussion Paper (DP189) on the fairness of certain pricing practices in


Addleshaw Goddard LLP | United Kingdom | 22 Nov 2018

How have firms implemented the FCA's whistleblowing rules and what improvements are needed?

Two years ago the FCA and PRA introduced stringent whistleblowing rules for financial institutions. The FCA has recently conducted a review into how a


Slaughter and May | United Kingdom, European Union | 15 Nov 2018

Financial Regulation Weekly Bulletin - 15 November 2018

The Financial Stability Board (FSB) has published a cyber lexicon following its public consultation earlier this year, as previously reported in this


Stephenson Harwood LLP | United Kingdom, European Union | 6 Nov 2018

CMA's Tough Message 'Stop cartels'

October 2018 CMA's Tough Message... ...'Stop cartels' On Monday, 22 October 2018, the Competition & Markets Authority ("CMA") launched a nationwide


Proskauer Rose LLP | USA | 28 Jun 2018

SEC Votes in Favor of Proposal to Amend Whistleblower Rules to Comport with U.S. Supreme Court’s Holding in Digital Realty Trust

On June 28, 2018, the U.S. Securities and Exchange Commission (“SEC” or “Commission”) voted in an open meeting on several final rules and rule


Arent Fox LLP | USA | 23 Mar 2018

Whistle While They Work: SEC Announces Largest-Ever Dodd-Frank Whistleblower Awards

Earlier this week, the United States Securities and Exchange Commission sent shockwaves through the financial-industry legal-and-compliance


Freshfields Bruckhaus Deringer | Belgium, European Union | 2 Mar 2018

New in whistleblowing: Are you compliant?

Businesses have a clear interest in ensuring that the right whistleblowing framework and culture is in place - it is better to retain control of the


Baker McKenzie | USA | 1 Mar 2018

SEC Issues Guidance on Cyber Disclosure, Including the Board’s Oversight Role

On February 21, the Securities and Exchange Commission issued interpretive guidance to assist public companies in preparing disclosures about


Herbert Smith Freehills LLP | USA, Ireland | 23 Feb 2018

US Supreme Court Limits The Scope "Whistleblowers" Under Dodd-Frank Act's Anti-Retaliation Provision

On February 21, 2018, the US Supreme Court decided that the Dodd-Frank Act’s whistleblower protections do not extend to an individual who has not


Jones Day | USA | 23 Feb 2018

Supreme Court Rules on Whistleblower Reporting to SEC

The U.S. Supreme Court unanimously held in Digital Realty Trust, Inc. v. Somers that whistleblowers must report alleged misconduct to the Securities

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