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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
Welcome to the Summer 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
The FCA has published Consultation Paper 21/28: New cancellation and variation power: Changes to the Handbook and Enforcement Guide (CP21/28). The proposals in CP21/28 relate to and provide guidance on the new power which the regulator was given under the Financial Services Act 2021 (FS Act) to allow it to act more quickly where an FCA-authorised firm is not – or does not appear to be – carrying on FCA-regulated activities. Read more
The Hong Kong Stock Exchange has updated its policy statement on Listing Rule enforcement, emphasising as one of its key priorities the holding accountable of individuals that are responsible for discharging duties in connection with listing matters. Read more
