Financial regulatory investigations


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  • Podcast 598: Business protection - What to do when it goes wrong

    Video Podcast

    Submitted: 19 June 2017

    Paul Baker and Dr Anne Sammon discuss the key factors in mitigating and addressing the risk when business assets such as confidential information or IP have been compromised.

  • Business protection: What to do when it goes wrong


    Submitted: 15 June 2017

    Materials from our webinar where Angus McLean, Paul Baker and Anna Shelley discussed what to do when key businesses assets such as confidential information, intellectual property or customer connections have been compromised.

  • Can your most valuable assets walk out of the door? Restricted access


    Submitted: 18 May 2017

    To a large extent, the security of your business is in the hands of those individuals who have access to information, strategy and staff. Managing the risk caused by the natural movement of people into and out of a business, or by negligent or rogue employees, is something that all organisations need to grapple with. This session focuses on some of the practical and legal steps that businesses can take to mitigate the risks arising from today’s increasingly flexible, mobile and global workforce.

  • Suspicions of money-laundering and mandatory injunctions


    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


    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


    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.

  • Whistleblowing toolkit Restricted access


    Last Reviewed: 01 March 2017 / Submitted: 19 February 2016

    This microsite contains tools to help organisations deal with the increasing pressure in relation to whistleblowing.

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


    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


    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.

  • Whistleblowing in the UK


    Last Reviewed: 02 November 2016 / Submitted: 29 April 2015

    A high level outline of employment protection for whistleblowers in the UK.

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