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1
A Victory For Legal Privilege In Cross-Border Investigations
Regulators in the U.K. and the U.S. are increasingly placing pressure on companies to provide materials considered to be protected by legal privilege.
United States
12 Dec 2018
2
FCA Enforcement Notices: UK Supreme Court Judgment Limits Third Party Rights
In support of its policy of credible deterrence, the Financial Conduct Authority ("FCA") has frequently referred to the lessons to be learned from its final notices...
UK
3 Apr 2017
3
FCA And PRA Announce Key Changes To Their Enforcement Processes
On 1 February 2017, the Financial Conduct Authority ("FCA") and Prudential Regulation Authority ("PRA") published important changes to their enforcement decision-making processes.
United States
16 Feb 2017
4
UK Supreme Court Rules That An Act Of Parliament Is Required To Trigger Withdrawal From The European Union
In a highly significant judgment of constitutional and political importance, the UK Supreme Court confirmed yesterday that the initiation of the UK's withdrawal from the European Union.
European Union
6 Feb 2017
5
All Claims Dismissed In The First Major Judgment Involving The Alleged Manipulation Of LIBOR
In the wake of the LIBOR scandal, many of the banks which were subject to regulatory actions have faced claims of mis-selling of financial instruments referenced to LIBOR.
United States
19 Jan 2017
6
When Can A Third Party Be Said To Have Been Identified By The FCA For The Purposes Of Section 393 FSMA 2000?
In seeking to achieve its enforcement objective of "credible deterrence", the Financial Conduct Authority ("FCA") has, in recent years, included in its final notices examples of the particular misconduct...
United States
4 Dec 2015
7
Bank Ordered To Disclose Privileged Documents In LIBOR-Related Civil Proceedings
On 6 February 2013, the UK Financial Services Authority ("FSA") (as the FCA was then known) published a Final Notice recording its detailed findings that RBS had "undermined the integrity of LIBOR"...
United States
1 Jul 2015
8
FCA Publishes Decision To Fine And Ban Former Non-Executive Director For Failing To Disclose Conflicts Of Interest
The Financial Conduct Authority has published a decision notice dated 28 November 2012 which its predecessor, the Financial Services Authority, had issued to Angela Burns, a former non-executive director of two mutual societies.
United States
12 Jun 2013
9
FSA Fines Prudential And Publicly Censures Its CEO
On 27 March 2013, in one of its last acts before being abolished, the Financial Services Authority announced the outcome of enforcement action against Prudential and its Chief Executive Officer, Tidjane Thiam.
United States
16 Apr 2013
10
FSA Fines Lamprell Plc For Listing Rules Breaches
The Final Notice issued to Lamprell plc on 15 March 2013 by the Financial Services Authority provides a timely reminder to listed companies of the consequences of non-compliance with their obligations under the Listing Rules.
United States
16 Apr 2013
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