Regulation and investigations
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Inside investigations: Stay one step ahead

Businesses are facing an increasingly complex framework of established and evolving legislation and regulations, an incr...

June 07, 2024

Regulation and investigations
Building sunny reflection

Publication

Corporate Transparency Act enforcement is back in effect

The Financial Crimes Enforcement Network (FinCEN) has announced that beneficial ownership information (BOI) reporting re...

February 21, 2025

Financial services and regulation
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
Investigations podcast header image

Inside investigations: Stay one step ahead

Businesses are facing an increasingly complex framework of established and evolving legislation and regulations, an incr...

June 07, 2024

Regulation and investigations
Building sunny reflection

Publication

Corporate Transparency Act enforcement is back in effect

The Financial Crimes Enforcement Network (FinCEN) has announced that beneficial ownership information (BOI) reporting re...

February 21, 2025

Financial services and regulation
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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