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UK: Financial Services

Linklaters: Financial Crime Update

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Financial Crime Update

Linklaters
December 19, 2012
11 pages

Latest UK Financial Services News

Perkins Coie: In re LIBOR-Based Financial Instruments Antitrust Litigation: A Long Road Ahead

May 18, 2013 Review of LIBOR Settings

Dechert: Has the FCA Started As It Means To Go On?

May 17, 2013 UK: Financial Services

SJBerwin: Implementing the AIFMD in the UK

May 17, 2013 Treasury Consults (Quickly) on AIFMD

FSA Assesses City's Bribery Act Efforts; Not Impressed

Allen & Overy: FSA thematic review into anti-bribery and corruption systems and controls

WilmerHale: FSA Review into Anti-Bribery and Corruption Systems and Controls in Investment Banks

Baker Botts: New UK Government Assessment Shows Anti-Bribery Controls Lacking

Greenlight: FSA Fines Hedge Fund For Market Abuse

Taylor Wessing: Disclosing inside information – can investors still be brought 'over the wall'?

Gibson Dunn: A Tale of Market Abuse Highlighting Traps for the Unwary

Jones Day: FSA's Fine of David Einhorn and Greenlight Capital for Insider Trading Violation

FCA Consults on AIFMD

SJBerwin: UK's regulator consults further on AIFMD implementation

Nabarro: Second FSA consultation paper on transposing the AIFMD

Proskauer: UK Regulators Propose Implementing Rules and Regulations on AIFMD

FSA fines Willis Ltd; Sheds Light on "Adequate Procedures"

Paul Hastings: Willis Limited Hit with Record Fine for Failure of Anti-Corruption Controls

K&L Gates: FSA Anti-Corruption Enforcement - No Bribery Act Required

Shoosmiths: Throwing light on the meaning of adequate procedures? [FSA Decision re: Willis Limited]

The Financial Services Act 2013

Willkie Farr & Gallagher: Enforcement Under The New UK Regulatory Architecture

Morrison Foerster: The UK’s Financial Services Act 2012: Some Key Features

Macfarlanes: Twin Peaks Regulation - What next?

Independent Commission on Banking's Final Report on Banking Reform

Ashurst: UK banking reform: change is coming

Shearman & Sterling: The Vickers Report and the UK Government's Response: What the Recommendations Mean for the Future of Banking in the UK

White & Case: The UK Government’s response to the Independent Commission on Banking

FSA Revises Remuneration Code

Herbert Smith: Remuneration: FSA Guidance replaces tiering with new proportionality regime

Linklaters: FSA final guidance on buy-out bonuses

Linklaters: FSA Remuneration Code – Final Dear CEO letters and templates issued by the FSA

"Disguised Remuneration" Legislation

Squire Sanders: Disguised Remuneration – the Effect on Image Rights Payments

Linklaters: Final Guidance on Disguised Remuneration Published

Pinsent Masons: Share plans - Disguised Remuneration – HMRC draft guidance brings some further clarification on some issues but no significant changes in approach

Mandatory Taping of Mobile Calls For UK Finance Sector

Schulte Roth & Zabel: FSA Makes Amendments to Telephone Taping Rules

Travers Smith: "Telephone taping": removal of the mobile phone exemption

McDermott Will & Emery: FSA Approves Taping Relevant Communications Conducted on Mobile Phones

Retail Distribution Review

Taylor Wessing: FSA publishes top questions on RDR

Ropes & Gray: New UK Distribution Rules Effective December 31 – the Impact on Fund Managers

Ashurst: RDR: Adviser charging and inducements

FSA's Client Assets Sourcebook (CASS)

SJBerwin: The FSA publishes further changes to its CASS rules

Slaughter & May: Reforming the UK Client Money Regime: A regulatory response to the Lehman litigation

Debevoise & Plimpton: FSA Review of the Client Money Rules for Insurance Intermediaries

UK Stewardship Code

Herbert Smith: Stewardship Code – new requirement for asset managers to include a statement of compliance on their websites

Norton Rose: The UK Stewardship Code - focus on asset managers

Morrison Foerster: The UK Stewardship Code

OFT's Equity Underwriting Study

Dechert: OFT Concludes Its Market Study on Equity Underwriting and Associated Services

Linklaters: OFT finds lack of competitive pressure on equity underwriting fees

Hogan Lovells: And now for some good news for banks ... OFT proposes no further investigation on equity underwriting fees

Sullivan & Cromwell: UK Bank Levy: Amendments to the UK Bank Levy Regime and its Interaction with French and German Bank Levies

Sullivan & Cromwell: Bank Levies in the UK, France and Germany: A Comparison of the New Levies on Banks

Clifford Chance: UK Bank levy – revised draft legislation published

The Walker Review

Morgan Lewis: Guidelines Monitoring Group Updates Walker Guidelines

Ashurst: Upper Tribunal decision in FSA's case against Swift Trade Inc is a warning to those offering market access trading facilities to customers

SJBerwin: The UK’s Walker Guidelines

The Turner Review

Taylor Wessing: Arch cru: FSA issue public censure (but no fine) against Authorised Corporate Director

Clifford Chance: Turner Review Part 2: How to regulate banks which are "too big to fail"?

DentonWildeSapte: Turner Review Feedback – a victory for FSA?

Springwell v JPMorgan: Mis-selling To Sophisticated Clients

SJBerwin: Mis-selling claims compared: England and Germany take different approaches

Norton Rose: Mis-selling claim - Springwell Navigation Corporation v JP Morgan Chase Bank

Slaughter & May: The doctrine of contractual estoppel in the financial services arena [JPMorgan v Springwell]

Tax on UK Bank Bonuses (Boni)

Sullivan & Cromwell: UK Bank Payroll Tax on Certain Bonuses Paid by Financial Institutions - Final Legislation and Additional Developments

Fried Frank: UK Bank Payroll Tax – Further Clarifications and Exclusions Issued

Pinsent Masons: Bank Payroll Tax