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The Hong Kong Securities and Futures Commission's recent high profile insider dealing and market misconduct prosecutions of bankers and other senior executives and its criticism of the role of Compliance teams, has raised the very real spectre of how The Hong Kong Securities and Futures
12 April 2010
http://www.allenovery.com/publications/en-g … tory-briefing---internal-investigations.aspx
The new Financial Conduct Authority (FCA) and the Prudential Regulation Authority (PRA) senior managers and certification regime (the new regime) will come into force on 7 March 2016. Many firms will see this date as marking the end of what has been a long consultation and implementation process.
04 March 2016
http://www.allenovery.com/publications/en-g … e-food-for-thought-for-in-house-lawyers.aspx


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