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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
Further to the promulgation of the Interim Measures for the Administration of Financing Security Companies by seven State-level regulators on and effective from 8 March 2010 (the Measures), the Ministry of Commerce (the MOC) issued a notice on 26 Aug Further to the promulgation of the Interim
28 October 2010
http://www.allenovery.com/publications/en-gb/Pages/Financing-Security-Companies.aspx
On 29 September 2018, Decree no. 107 of August 10, 2018 will enter into force. The Decree adds a new chapter to the longstanding debate over the Italian dual-track system and its compatibility with the double jeopardy (ne bis in idem) principle. On 29 September 2018, Decree no. 107 of August 10,
03 October 2018
http://www.allenovery.com/publications/en-g … em-principle-in-Italy-the-latest-decree.aspx
In our fast-paced, innovative securities and commodities markets, regulatory enforcement agencies must deftly adapt to and monitor market changes in order to satisfy their investor protection mandates. In our fast-paced, innovative securities and commodities markets, regulatory enforcement agencies
03 October 2017
http://www.allenovery.com/publications/en-g … ment-Developments-in-Canada-and-the-U-S.aspx
In this decision report we review the FCA’s action against Sonali Bank (UK) Ltd (Sonali Bank) and its money laundering reporting officer (MLRO), Steven Smith, in connection with failings identified in relation to Sonali Bank’s anti-money laundering (AML) controls.
06 December 2016
http://www.allenovery.com/publications/en-g … -anti-money-laundering-systems-failings.aspx
Following the publication of the Financial Conduct Authority’s (FCA) ‘mission’ in April 2017, the FCA has published a consultation paper setting out its approach to enforcement.
14 May 2018
http://www.allenovery.com/publications/en-gb/Pages/FCA-enforcement-A-new-approach-.aspx
New publication by Tony Mansfield, Washington DC litigation partner New publication by Tony Mansfield, Washington DC litigation partner
05 June 2018
http://www.allenovery.com/publications/en-g … field,-Washington-DC-Litigation-partner.aspx
SFO approach to privilege over employee interview notes criticised by high court in AL v SFO ruling. SFO approach to privilege over employee interview notes criticised by high court in AL v SFO ruling.
27 April 2018
http://www.allenovery.com/publications/en-g … -criticises-SFO's-approach-to-privilege.aspx
In Tigris International NV v China Southern Airlines Co Ltd & anr [2014] EWCA Civ 1649, 17 December 2014, the Court of Appeal confirmed, obiter, that when a contract is terminated because of a party's surreptitious dealing with the terminating party's agent, it is not void ab initio in
31 March 2015
http://www.allenovery.com/publications/en-g … Effect-of-agent's-surreptitious-dealing.aspx


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