Regulation and investigations
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Publication

ESG and internal investigations: New compliance challenges

AsESG concerns have come to the forefront in different jurisdictions, the scope of these inquiries is expanding in kind.

April 14, 2025

Regulation and investigations
Banking-and-finance-building-blue-sky-AdobeStock_55200468

Publication

SFO sets out its new Business Plan: four key takeaways

The SFO’s Business Plan for 2025-2026 signals its intention to take centre stage in global financial crime enforcement, ...

April 09, 2025

Regulation and investigations
Panoramic evening New York view with the digital financial chart. A concept of the professional financial services.

Publication

Name and Shame Round Two: House of Lords Financial Services Regulation Committee remains deeply concerned

On 6 February 2025 the House of Lords Financial Services Regulation Committee published its report entitled ‘Naming and ...

February 11, 2025

Regulation and investigations
Panoramic evening New York view with the digital financial chart. A concept of the professional financial services.

Publication

Upper Tribunal considers spoofing cases: What to watch out for in the upcoming decisions

The Upper Tribunal is considering three connected spoofing cases involving bond traders whose decision notices were publ...

February 07, 2025

Regulation and investigations
Panoramic evening New York view with the digital financial chart. A concept of the professional financial services.

Publication

Notice in a nutshell: CFD provider, Infinox Capital Limited, fined for missing transaction reports

The FCA has published a Final Notice imposing a fine of £99,200 on a CFD provider for failing to make transaction report...

January 31, 2025

Regulation and investigations
Compliance Update | Neue Pflichten zum Schutz von Hinweisgebern

Publication

ESG and internal investigations: New compliance challenges

AsESG concerns have come to the forefront in different jurisdictions, the scope of these inquiries is expanding in kind.

April 14, 2025

Regulation and investigations
Banking-and-finance-building-blue-sky-AdobeStock_55200468

Publication

SFO sets out its new Business Plan: four key takeaways

The SFO’s Business Plan for 2025-2026 signals its intention to take centre stage in global financial crime enforcement, ...

April 09, 2025

Regulation and investigations
Panoramic evening New York view with the digital financial chart. A concept of the professional financial services.

Publication

Name and Shame Round Two: House of Lords Financial Services Regulation Committee remains deeply concerned

On 6 February 2025 the House of Lords Financial Services Regulation Committee published its report entitled ‘Naming and ...

February 11, 2025

Regulation and investigations
Panoramic evening New York view with the digital financial chart. A concept of the professional financial services.

Publication

Upper Tribunal considers spoofing cases: What to watch out for in the upcoming decisions

The Upper Tribunal is considering three connected spoofing cases involving bond traders whose decision notices were publ...

February 07, 2025

Regulation and investigations
Panoramic evening New York view with the digital financial chart. A concept of the professional financial services.

Publication

Notice in a nutshell: CFD provider, Infinox Capital Limited, fined for missing transaction reports

The FCA has published a Final Notice imposing a fine of £99,200 on a CFD provider for failing to make transaction report...

January 31, 2025

Regulation and investigations
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