Financial regulatory investigations

Latest

1 to 10 of 168
  • Suspicions of money-laundering and mandatory injunctions

    Article

    Submitted: 21 April 2017

    An important judgment was issued in April 2017 by the Court of Appeal concerning whether and in what circumstances the court’s power to grant interim relief can displace the consent regime in the Proceeds of Crime Act.

  • Tesco enters into DPA with SFO

    Article

    Submitted: 11 April 2017

    ​The UK's fourth DPA, and the first not related to bribery, has been entered into between Tesco Stores Limited and the SFO.

  • The FCA, Tesco and the civil market abuse regime

    Article

    Submitted: 10 April 2017

    ​The FCA has issued a final notice in relation to market abuse by Tesco and for the first time exercised its power to require restitution for those affected.

  • Legal Headwinds: Asia - Quarterly Report - Q4 2016 Restricted access

    Newsletter

    Submitted: 27 December 2016

    The Q4 2016 edition of Legal Headwinds focuses on key legal and regulatory developments relevant to financial institutions operating in China, Hong Kong and Singapore.

  • Hong Kong regulatory enforcement newsflash Restricted access

    Article

    Submitted: 14 November 2016

    Thomas Atkinson, Executive Director of Enforcement at the Securities & Futures Commission (SFC), gave a keynote speech on 09 November 2016 at the 7th Pan Asian Regulatory Summit. He announced the “key risk areas” that Enforcement is now focusing on.

  • Le projet de loi "Sapin II" - Un arsenal anti-corruption à renforcer pour les entreprises

    Article

    Submitted: 27 October 2016

    Le Projet de loi Sapin II prévoit notamment de nouvelles obligations à la charge des entreprises pour lutter contre la corruption, et une aggravation des sanctions pour atteinte à la probité. Analyse des risques à anticiper pour les entreprises.

  • Deferred Prosecution Agreements - 8 lessons so far

    Article

    Submitted: 25 October 2016

    Deferred Prosecution Agreements have been available for commercial organisations suspected of economic crime since 24 February 2014. Two have been concluded, in the cases of ICBC Standard Bank (Standard Bank) and XYZ Ltd, a company which remains anonymous pending further criminal proceedings arising from the case. A further company which sought a DPA and was refused one, Sweett Group plc, has been convicted and sentenced.

  • Legal Headwinds: Asia - Quarterly Report - Q3 2016 Restricted access

    Newsletter

    Submitted: 20 September 2016

    The Q3 2016 edition of Legal Headwinds focuses on key legal and regulatory developments relevant to financial institutions operating in China, Hong Kong and Singapore.

  • Reporting on financial crime: the FCA introduces the new REP-CRIM

    Article

    Submitted: 04 August 2016

    The Financial Conduct Authority (FCA) has released the final rules and implementation timescale for the new financial crime return.

  • Brexit: the implications for financial crime and investigations

    Article

    Submitted: 18 July 2016

    What are the implications for financial crime and investigations arising from Brexit?

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