Nov 26, 2024 Investigations and enforcement trends in the Middle East By Matthew Shanahan Karl Masi Omar Khattab Hasanali Pirbhai +1 more... Show less In our fifth episode of the Inside Investigations podcast series, Middle East Head of Financial Services Regulatory, Matthew Shanahan,...
Nov 20, 2024 CP24/21 – significant rather than fundamental change By Jonathan Herbst Regarding CP24/21 relating to investment research payment optionality for fund managers, the punchline is that the FCA is going to take...
Nov 19, 2024 ICO, FCA, and TPR joint statement on data protection and effective communications to consumers By Rosie Nance Marcus Evans On 15 November, the Information Commissioner’s Office (ICO), the Financial Conduct Authority (FCA) and The Pensions Regulator (TPR)...
Nov 15, 2024 FCA ‘name and shame’ proposals to be fundamentally reshaped By Katie Stephen In oral evidence before the House of Lords Financial Services Regulation Committee on Wednesday, the FCA gave an update on its ‘name and...
Nov 15, 2024 Mansion House speech: Proposed changes to the FOS By Jonathan Herbst In her first Mansion House speech as chancellor, Rachel Reeves announced proposed changes to the Financial Ombudsman Service, including...
Nov 11, 2024 Market Watch 81 – the twist in the tail on transaction reporting By Jonathan Herbst On a first pass, Market Watch 81 might appear relatively uncontroversial in giving feedback on the FCA’s recent findings on transaction...
Nov 08, 2024 FCA investigation update highlights the importance of good governance By Katie Stephen Joe Smallshaw The FCA’s recently published warning notice statement in the Crispin Odey case may be a somewhat unusual example of a governance-related...
Nov 06, 2024 Failure to prevent fraud: government guidance published and countdown to new offence begins By Katie Stephen The government has today published general guidance on the new failure to prevent fraud offence and has confirmed the offence will come...
Oct 31, 2024 UOKiK exempts from the merger notification obligation extraterritorial JVs with no effect on the Polish market By Alexandra Rogers Tim Schaper Agnieszka Braciszewska Katarzyna Berestecka David Fila +2 more... Show less On 25 October 2024, the Polish Competition Authority Urząd Ochrony Konkurencji i Konsumentów (UOKiK) updated its merger notification...
Oct 25, 2024 The results of the FCA's Culture and non-financial misconduct survey have been published: What do you need to know? By Katie Stephen Rebecca Dulieu Joe Smallshaw The FCA has published the results of its survey on non-financial misconduct. Set out below are (1) key findings; (2) next steps for the...
Oct 22, 2024 Floating charges again By Richard Calnan Distinguishing between fixed and floating charges is a much-discussed topic, and, in my view, both conceptually impossible and...
Oct 20, 2024 From SpaceX to Legal Geek: Legal Innovation at its forefront By Bernhard Fiedler Sometimes, it's essential to take a step back and reflect on just how much has changed in recent years. Last weekend, my children and I...