Financial regulatory investigations

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  • Legal Headwinds: Asia - Quarterly Report - Q3 2019 Restricted access

    Newsletter

    Submitted: 30 July 2019

    The Q3 2019 edition of Legal Headwinds focuses on key legal and regulatory developments relevant to financial institutions and asset managers operating in China, Hong Kong and Singapore.

  • Legal Headwinds: Asia - Quarterly Report - Q2 2019 Restricted access

    Newsletter

    Submitted: 29 April 2019

    The Q2 2019 edition of Legal Headwinds focuses on key legal and regulatory developments relevant to financial institutions operating in China, Hong Kong and Singapore.

  • Legal Headwinds: Asia - Quarterly Report - Q1 2019 Restricted access

    Newsletter

    Submitted: 13 February 2019

    The Q1 2019 edition of Legal Headwinds focuses on key legal and regulatory developments relevant to financial institutions operating in China, Hong Kong and Singapore.

  • Lonsdale v National Westminster Bank plc: Disclosure of SARs in civil proceedings

    Article

    Submitted: 18 January 2019

    The Court ruled that a Suspicious Activity Report filed by the defendant bank was relevant to the breach of contract, defamation and Data Protection Act claims brought by the customer against the bank. Disclosure should not be refused on grounds of confidentiality. It is an important reminder to financial crime and compliance practitioners that SARs may be disclosable in litigation both to customers and potentially to third parties.

  • Whistleblowing in the UK

    Article

    Last Reviewed: 10 December 2018 / Submitted: 29 April 2015

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

  • Whistleblowing toolkit Restricted access

    Microsite

    Last Reviewed: 10 December 2018 / 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 2018 Restricted access

    Newsletter

    Submitted: 31 October 2018

    The Q4 2018 edition of Legal Headwinds focuses on key legal and regulatory developments relevant to financial institutions operating in China, Hong Kong and Singapore.

  • Court of Appeal endorses ENRC on when criminal proceedings are in contemplation

    Article

    Last Reviewed: 19 September 2018 / Submitted: 20 February 2018

    The Criminal Court of Appeal considered a claim for litigation privilege over documents generated when matters were still at an investigatory stage, agreeing with the analysis in ENRC as to when a criminal prosecution can be said to be in reasonable contemplation.

  • Whistleblowing - the international perspective

    Article

    Submitted: 17 September 2018

    Headline summaries of whistleblowing laws across a range of jurisdictions.

  • The impact of the proposals of the EU Commission on pre-marketing

    Article

    Submitted: 13 September 2018

    Harald Glander has written an article that has been published in top German legal Financial Services publication, Recht der Finanzinstrumente, on the impact of two separate proposals of the EU Commission on pre-marketing.

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