Financial regulatory investigations


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  • Hong Kong regulatory enforcement newsflash Restricted access


    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


    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


    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.

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


    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


    Submitted: 18 July 2016

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

  • Whistleblowing matrix - an international comparison table


    Submitted: 20 June 2016

    ​A quick and easy display of the key points for employers to note, from a range of jurisdictions, in relation to whistleblowing.

  • Whistleblowing - toolkit for employers


    Submitted: 02 June 2016

    ​Simmons & Simmons has put together a toolkit for employers considering how best to deal with issues in relation to recent changes in the legislation and regulation of whistleblowing.

  • Singapore regulatory enforcement newsflash


    Submitted: 25 May 2016

    MAS to close Swiss bank subsidiary for money laundering breaches and fine of S$13.3 million

  • Whistleblowing - the international perspective


    Submitted: 18 May 2016

    Headline summaries of whistleblowing laws across a range of jurisdictions.

  • Whistleblowing hotlines: potential obstacles


    Submitted: 16 May 2016

    Many employers are considering whether to introduce whistleblowing hotlines. Even if there is no legal requirement to so so, many are assessing the potential benefits of encouraging individuals to raise complaints internally given the impact of the alternatives (particularly for those companies covered by the US Foreign Corrupt Practices Act and the bounty possibilities under the Dodd-Frank Act for reporting financial irregularities).

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