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Chairman of the CFTC released Cross-Border Swaps Regulation Version 2.0, a white paper which calls for dramatic overhaul to the CFTC's extraterritorial application of Title VII of the Dodd-Frank Act Chairman of the CFTC released Cross-Border Swaps Regulation Version 2.0, a white paper which calls
01 November 2018
http://www.allenovery.com/publications/en-g … ross-Border-Swaps-Regulation-Version-20.aspx
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
Court ordered disclosure of suspicious activity reports (SARs) by a bank to its customer. Considers data protection, defamation, breach of contract claims made by customer. Court ordered disclosure of suspicious activity reports (SARs) by a bank to its customer. Considers data protection,
19 October 2018
http://www.allenovery.com/publications/en-g … suspicious-activity-reports-to-customer.aspx
The much publicised raid of U.S. law firm Jones Day’s Munich office and the seizure of documents relating to VW’s internal investigation by prosecutors in an investigation of Audi AG were legal, according to German courts. The much publicised raid of U.S. law firm Jones Day’s Munich office and the
11 October 2018
http://www.allenovery.com/publications/en-g … ocuments-seised-in-lawful-law-firm-raid.aspx
KBR v SFO: SFO may validly issue a section 2 notice with extraterritorial application. It may compel production of documents held extraterritorially by a UK company, or issue a notice to foreign companies in respect of documents held outside the UK KBR v SFO: SFO may validly issue a section 2
01 October 2018
http://www.allenovery.com/publications/en-g … verseas-documents-from-non-UK-companies.aspx
The Supreme Court makes some significant decisions about the constituent elements of an offence under section 328 of the Proceeds of Crime Act 2002 (POCA) in the case of R v GH [2015] UKSC 26). The case is unusual in that the arrangements in question began before any "criminal property" for the
22 May 2015
http://www.allenovery.com/publications/en-gb/Pages/Supreme-Court-considers-.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
In James Bowen & ors v The Commissioner of Police for the Metropolis [2015] EWHC 1249 (QB) 1 May 2015, the High Court ruled on the conflicting interests that arise during an employer's investigations into claims against it, where those allegations concern its employees.
06 July 2015
http://www.allenovery.com/publications/en-gb/Pages/Employer-investigations.aspx


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