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Statistics recently obtained by Herbert Smith Freehills call into question whether the Senior Managers Regime has been effective in allowing UK regulators to pursue enforcement against senior individuals in financial services. Read more
The Hong Kong Securities and Futures Commission (SFC) has proposed a number of sweeping enforcement-related reforms which would significantly enhance the SFC’s ability to obtain investor compensation orders against regulated persons who have committed wrongdoing. Read more
In this blog post, we round-up key forthcoming developments in the UK and at EU and International levels in financial services regulation which are expected to happen in February and March 2022. Read more
Welcome to the Winter 2021 edition of our corporate crime update – our round up of developments in relation to corruption, money laundering, fraud, sanctions and related matters. Our update now covers a number of jurisdictions. Read more
We are pleased to announce the launch of our Global FSR Outlook 2022. In this annual publication, our FSR team surveys the regulatory landscape for 2022 and identifies themes that we expect to be at the core of regulatory priorities globally over the next 12 months.
Scott Balber and Pamela Terry have contributed to Global Investigations Review’s The Guide to International Enforcement of Securities Laws with a chapter entitled “Strategic Considerations in Cross-Border Investigations”. Read more
The Hong Kong Securities and Futures Commission (SFC) has recently announced a disciplinary action against a licensed corporation and its manager-in-charge (MIC) for internal control failures relating to its placing activities and recording of client order instructions. Read more
In this blog post, we draw out from the enforcement cases the regulatory expectations on sponsors where red flags, such as third-party payments and documentary irregularities, are discovered during the IPO process or where there are heightened risks due to material distributorships. Read more
The latest edition of our Regulation in Focus podcast series features Karen Anderson and Andrew Procter, both partners in our FSR practice and both former regulators, in conversation about the FCA's plans to streamline regulatory decision-making, which - if the FCA proceeds as proposed - will be a significant change to how authorisation, supervision and enforcement are delivered. Read more
