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Showing 36 out of 175 results
Singapore Exchange implements Mainboard Listing Rules for Mineral, Oil and Gas Companies
Following a public consultation in 2012, the Singapore Exchange Securities Trading Limited (“SGX”) has implemented new rules for the listing and …
RDR in practice: FCA concerns that inducements may be undermining RDR objectives (Thematic Review and Guidance Consultation13/5)
The FCA has published findings from its recent thematic review into payments (and other benefits) by life insurers to advisory firms, which highlights …
UK action plan on business and human rights
The UK Government has launched an action plan for implementing the UN Guiding Principles on Business and Human Rights. The Action Plan sets out clearly …
SFO brings first Bribery Act charges
The Serious Fraud Office ("SFO") had its first day in court in a Bribery Act prosecution on 24 September 2013, with three of four defendants connected …
Problem, process and prognosis: the legal challenge to the EU Bonus Cap
Yesterday afternoon it was announced that the UK Government has launched a legal challenge in the Court of Justice of the European Union against the cap …
September 2013 Corporate Crime Update
The September 2013 edition of our Corporate Crime Update covers developments in relation to corruption, money laundering, fraud, sanctions and related …
UK OFT agrees reforms to UK defined contribution pensions market
The Office of Fair Trading (OFT) has published the findings from its market study into defined contributions (DC) workplace pensions. Overall, the …
UK FCA consults on change to rules requiring reporting of suspicious transactions (market abuse)
Tucked away in chapter 4 of Quarterly Consultation No.2 is the FCA's proposal to clarify the requirement for firms to submit suspicious transaction …
Further enforcement action by UK FCA in relation to suitability issues in wealth management
The UK's Financial Conduct Authority (FCA) has imposed a £1,802,200 fine on AXA Wealth Services Ltd (AXA) for failing to ensure the investment …
EU: EMIR timing for registration of trade repositories and reporting slips
The European Securities and Markets Authority (ESMA) has updated its EMIR implementation timetable. ESMA now does not expect to make its …
US CFTC publishes concept release consulting on risk controls and system safeguards for automated trading
The US Commodity Futures Trading Commission (CFTC)'s 137 page concept release on risk controls and system safeguards for automated …
A new statutory cause of action against credit rating agencies – inconsistent messages from Europe
On 31 May 2013, new European legislation was passed to amend the Regulation on credit rating agencies which was first introduced in the aftermath of the …
Showing 36 out of 175 results
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