In this article, which first appeared in the September issue of Butterworths Journal of International Banking and Financial Law, Jon Ford considers how industry codes present risks to firms and how these risks can be mitigated. Read more

The FCA recently published the latest edition of Market Watch, which covers three topics – information handling requirements, legal privilege, and transaction reporting. Read more

The Monetary Authority of Singapore (MAS), the Singapore Exchange Regulation (SGX RegCo), and the Stock Exchange of Hong Kong Limited (SEHK) have all published consultation papers reaffirming the regulators’ continued focus on culture and conduct, and keeping ‘bad apples’ out of financial institutions (FI) and public companies. Read more

Welcome to the August 2020 edition of our corporate crime update - our round up of developments in relation to corruption, money laundering, fraud, sanctions and related matters. Read more

On 17 July 2020, Mr Justice William Davis approved the UK’s eighth deferred prosecution agreement (“DPA”) between the UK Serious Fraud Office (“SFO”) and G4S Care and Justice Services (UK) Limited (“G4S C&J”), a wholly-owned subsidiary of G4S plc. Read more

On 4 June 2020, Megan Butler, Executive Director of Supervision – Investment, Wholesale and Specialists at the FCA, delivered a speech on the FCA’s response to Covid-19 and expectations for 2020. Addressing a virtual audience at PIMFA’s Virtual Festival, Ms Butler explored the FCA’s priorities and longer-term expectations, in particular for the wealth management and advice industry. This briefing considers the key points from the speech. Read more

Welcome to the Spring 2020 edition of our corporate crime update - our round up of developments in relation to corruption, money laundering, fraud, sanctions and related matters. Read more

In this blog post, we round-up forthcoming developments in the UK and at EU and International levels in financial services regulation which are expected for May 2020. Read more