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Analysis Compliance

PRO Compliance | Canada | 16 Nov 2020

Canada’s whistleblower protections improved by threat of prosecution for retaliators

Canada’s ability to prosecute those within the private sector who retaliate against whistleblowers has provided a significant incentive for company executives to protect individuals who report possible misconduct, a Canadian lawyer said at Global Investigation Review's Women in Investigations conference.
Analysis Compliance

PRO Compliance | Central & Eastern Europe, European Union, France, etc. | 28 Oct 2020

Swiss enforcer hits Euribor cartel with more fines

Switzerland’s antitrust authority has fined Crédit Agricole and HSBC a total of €6 million for colluding to manipulate the Euro Interbank Offered Rate, while also closing two investigations into NEX International for its suspected role in rigging other benchmark interest rates.
Analysis Compliance

PRO Compliance | United Kingdom, USA | 27 Jul 2020

UBS loses bid to dismiss LIBOR collusion claims

A UK court has denied UBS’s request to throw out competition law claims filed by a US governmental agency, which accuse the bank of colluding with 11 rivals to manipulate the pound-to-dollar exchange rate.

Squire Patton Boggs | United Kingdom | 27 Mar 2019

UBS fined £27.6m for transaction reporting failures

The Financial Conduct Authority has imposed a fine of £27,599,400 on UBS AG for breaches of transaction reporting obligations imposed by MiFID (the…

Hardwicke | United Kingdom | 21 Mar 2019

Is it really within your “absolute discretion”? UBS AG v Rose Capital Ventures Ltd and others

Indian business tycoon, Mr Vijay Mallya, was once dubbed “the King of Good Times”. However, over the last two years, £1.14 billion of his assets have…

Global Investigations Review | France | 1 Mar 2019

UBS judgment not based on French law, lawyers say

Lawyers acting for UBS have accused French judges of ignoring legal arguments and caving to public pressure to hand down a penalty against the Swiss…

Stephenson Harwood LLP | European Union, United Kingdom | 30 Jan 2019

How reasonable do Lenders need to be?

When a finance document gives a lender the right to exercise a power or discretion it is common for borrowers and their lawyers to add "acting…

Steptoe & Johnson LLP | USA | 20 Dec 2018

UBS Financial Services Agrees to Pay $14.5 Million to Resolve Anti-Money Laundering Violations

On December 17, 2018, the Financial Crimes Enforcement Network (“FinCEN”) announced that UBS Financial Services, Inc. (“UBS”) had entered into a…

Ogier | USA | 19 Dec 2018

Value of regulated funds in Jersey hits record high

The value of regulated funds serviced in Jersey has hit a record high over the £300 billion mark - and signs point to continued growth in 2019, says…

Squire Patton Boggs | United Kingdom | 7 Dec 2018

Lenders’ discretion and the limitation of the Braganza duty

Where a lender has the absolute discretion to do something under a loan, their position will be protected according to the recent High Court decision…
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