You are here: 主页 法律专题 争议解决－金融市场 监管执法
提交: 17 May 2019
In this latest in a series of articles on “closet tracking” we update our closet tracker timeline, comment on new developments and look at the substantial remedial action now being taken by regulators.
提交: 16 May 2019
提交: 20 March 2019
It has been reported that the FCA are to conduct anti-money laundering spot checks on certain hedge fund managers in London in late March or early April 2019.
提交: 08 March 2019
The FCA has warned that firms should review their costs and charges disclosures as a matter of priority, and expects to see improvements in the coming weeks and months.
提交: 09 January 2019
2019 is likely to see an increase in action by the FCA in several key areas, including misconduct by regulated individuals and cyber security.
提交: 18 December 2018
Our latest newsletter on contentious regulatory matters.
提交: 17 December 2018
This article looks at the standards expected by the PRA in relation to its reporting requirements and the implications for senior regulated individuals.
A summary of the fine imposed upon Liberty Mutual, highlighting the FCA’s increased focus on outsourcing arrangements.
A summary of the first case to use the FRA procedure for partly-contested cases and an overview of the key implications.
A summary of the Decision Notice issued to the former CEO of Sonali Bank (UK) Ltd and the implications for senior individuals responsible for managing financial crime risk.
© Simmons & Simmons LLP 2019. All rights reserved. Registered in England & Wales Registered Number OC352713
elexica Limited, CityPoint, One Ropemaker Street, London EC2Y 9SS