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FCA wins case against operators and promoters of unauthorised CIS
The regulator continues to be successful in clamping down against the operation and promotion of unauthorised collective investment schemes (CIS). …
February 2014 Corporate Crime Update
Welcome to the February 2014 edition of our corporate crime update - our round-up of developments in relation to corruption, money laundering, fraud, …
UK: Retail product distribution payments under the FCA spotlight - finalised guidance on inducements and conflicts of interest
The FCA has set an uncompromising compliance standard for what it sees as unacceptable payments from product providers to advisors in the retail …
UK: Is it time for firms to review their approach to settling enforcement action?
Whilst much has been said about some of the changes which have been proposed in the ongoing reform of the regulatory regime applicable to the UK …
UK FCA publishes first warning notice statements in respect of individuals
The Financial Conduct Authority (FCA) has today published details of two warning notices given on 28 November 2013 to bankers alleged to be knowingly …
Daimler AG v. Bauman: US Supreme Court rejects jurisdiction over foreign corporation
For the first time ever, the United States Supreme Court has addressed whether a foreign corporation may be subjected to a court's general jurisdiction …
Iran sanctions: Implementation of the Geneva Agreement
In November 2013, the P5+1 reached agreement on a Joint Plan of Action (JPoA) to suspend certain sanctions in exchange for Iran rolling back aspects of …
The new PRA rulebook: new rules, but look elsewhere for guidance and policy statements?
The PRA has published "The Rulebook Consultation – CP2/14", which sets out proposals to redraft certain modules of the Prudential Regulation Authority’s …
What will implementation of the latest iteration of the EU's regulation on credit rating agencies (CRA III) mean in practice for participants in credit markets?
CRA III is the third instalment of the EU's legislative response to the role and performance of credit rating agencies prior to, and during, the …
Another storm brewing in relation to the scope of the Pensions Regulator's anti-avoidance powers
In a surprise judgment, the High Court has ruled that where contribution notices are issued to a number of companies for failing to comply with a …
December 2013 Corporate Crime update
Welcome to the December 2013 edition of our corporate crime update - our round up of developments in relation to corruption, money laundering, fraud, …
Some information seasonally "freed" by the FCA
The FCA has published responses to a variety of Freedom of Information requests, ranging from the value of its art collection and data on high earners by …
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