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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
Bankers' remuneration has been at the front of people's minds when examining why financial institutions took the excessive risks which dragged the global economy into a recession. Bankers' remuneration has been at the front of people's minds when examining why financial institutions took the
24 March 2009
http://www.allenovery.com/publications/en-g … tion--Will-we-learn-from-past-mistakes-.aspx
A challenge for those attending the London Summit and, in due course national regulators, is how by regulation, to avoid repetition of the mistakes of the past without inhibiting the entrepreneurial freedom and energy that is essential to facilitate A challenge for those attending the London
25 March 2009
http://www.allenovery.com/publications/en-g … ow-financial-institutions-to-take-risks.aspx


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