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A recent UK FCA decision highlights the FCA’s expectation that, in certain circumstances, issues relating to the conduct of senior managers outside and unrelated to the workplace should nevertheless b...
Author(s): Ali Sallaway, Christopher Robinson, Sophie Horton
On 6 November 2024, the UK Government published final guidance on what constitute reasonable prevention procedures (the “Guidance”), on which organisations can seek to base a defence to the recently i...
Author(s): Matthew Bruce, Ben Morgan, Ali Sallaway, Emily Knight, Laura Feldman, Caroline Doherty de Novoa
In a recent decision, the UK Court of Appeal confirmed that the FCA can impose a redress requirement on an FCA-regulated firm without meeting the pre-conditions for a statutory market-wide redress sch...
Author(s): Christopher Robinson, Sharon Grennan, Juliet Leung
In today’s dynamic business environment, decision-making frequently entails venturing into unknown territory. It is often challenging to accurately foresee which among various possible actions will pr...
Author(s): Moritz Pellmann, Nicholas Schoch, Anna Eichner, Anna Köhler, Dawid Ligocki
UK financial services enforcement round-up, and looking ahead to 2024
De-banking: Difficult decisions
UK enforcement round up and looking ahead to 2023
Hong Kong regulatory enforcement trends – annual review and look ahead
Record fines, but fewer actions: Hong Kong regulatory enforcement in 2020
UK Financial services enforcement round up and looking ahead
UK enforcement round up and looking ahead
FS market conduct #3: a look at market manipulation enforcement in the US, Hong Kong and Germany