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The FCA publishes report on new technologies and AML compliance
  • Burges Salmon LLP
  • United Kingdom
  • August 9 2017

On 2 August, the FCA published its report on 'new technologies and anti-money laundering compliance '. The report is intended to increase the FCA's


Key Regulatory Topics: Weekly Update - 28 July 2017 - 3 August 2017
  • Allen & Overy LLP
  • United Kingdom
  • August 4 2017

On 2 August, the government published plans for a bill that would give it the legal power to impose sanctions after it leaves the EU. The Queen's


New Rules Released: Senior Managers and Certification Regime Extended to All Firms
  • Mayer Brown LLP
  • United Kingdom
  • August 4 2017

The Financial Conduct Authority ("FCA") and Prudential Regulation Authority ("PRA") published their consultation papers on 26 July 2017 containing


Key Regulatory Topics: Weekly Update - 21 July 2017 - 27 July 2017
  • Allen & Overy LLP
  • European Union, United Kingdom
  • July 28 2017

On 24 July, the HoL EU Financial Affairs Sub-Committee published a call for evidence announcing it is launching an inquiry into financial regulation


Governance & Securities Law Focus: Latin America Edition, August 2017
  • Shearman & Sterling LLP
  • European Union, Hong Kong, Italy, United Kingdom, USA
  • August 9 2017

On June 29, 2017, the US Securities and Exchange Commission's ("SEC") Division of Corporation Finance announced that, beginning on July 10, 2017, it


FCA policy statement applying conduct rules to non-executive directors (NEDs) in the senior managers and certification regime (SM&CR) and senior insurance managers regime (SIMR)
  • Clyde & Co LLP
  • United Kingdom
  • August 7 2017

On 3 May the FCA published a policy statement introducing final rules to extend the conduct rules in the Code of Conduct sourcebook (COCON) to


Financial Services Regulation monthly update - June 2017
  • TLT LLP
  • United Kingdom
  • July 10 2017

On 21 June 2017, the FCA published a Consultation Paper on its new proposals for advising on pension transfers where consumers have safeguarded


Wall crossings and insider dealing Financial Services Authority levies the second highest ever fine against Greenlight Capital hedge fund trader David Einhorn
  • Hogan Lovells
  • United Kingdom
  • February 1 2012

On 12 January 2012, the Financial Services Authority ("FSA") levied its second highest ever fine of £3,638,000 against US hedge fund trader David Einhorn and a fine of £3,650,795 against Greenlight Capital Inc for market abuse


Cross-Border Investigations Update July 2017
  • Skadden Arps Slate Meagher & Flom LLP
  • United Kingdom, USA
  • July 28 2017

Israeli pharmaceutical firm Teva Pharmaceutical Industries Ltd. agreed as part of a deferred prosecution agreement to pay a $283 million penalty to


February 2017 International Trade Compliance Update
  • Baker McKenzie
  • United Kingdom, USA, Canada, China, European Union, Global
  • February 20 2017

On 27 January 2017, the UN Security Council adopted Resolution 2339 (2017) with respect to the situation in the Central African Republic. The Security