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Searching Content by Harvey Knight from Withers LLP ordered by Published Date Descending.
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1
Senior Executives: Are You Involved In An Internal Investigation? (Video)
As a senior individual in a corporate organisation, your professional conduct may be under scrutiny. This can take many forms
UK
8 Oct 2019
2
Withers Succeeds In Clearing Client In Five Year Regulatory Investigation
Withers' Financial Regulatory team has secured victory for their client Andrew Tinney, a former senior banker in a long-running investigation by the Financial Conduct Authority
UK
13 Sep 2019
3
Sexual Harassment: Is It Fit And Proper?
Whilst Sir Philip Green has described the use of parliamentary privilege to reveal allegations of sexual harassment against him as his "worst week", he may reflect that he is fortunate not to be regulated by the FCA.
UK
16 Nov 2018
4
Preparing For An Internal Investigation Or Regulators' Interview
Being involved in an internal investigation can have serious implications for your career and professional reputation.
UK
24 Jul 2018
5
Confidential Data And Cyber Security
The subject of confidential data and its cyber security was the subject of a breakfast briefing to the Worshipful Company of International Bankers on Friday 22 September at our London offices.
UK
29 Sep 2017
6
Senior Managers And Certification Regime
On 7 March 2016, the first wave of the Senior Managers and Certification Regime will become effective.
UK
22 Feb 2016
7
Comunicazione Banca d'Italia 25 Marzo 2015 In Materia Di Adempimenti Per Le SGR
Alleghiamo la comunicazione emanata da Banca d'Italia in data 25 marzo 2015 in materia di adempimenti per le SGR conseguenti alle disposizione attuative della Direttiva AIFM.
Italy
2 Apr 2015
8
Valuta Virtuale (Bitcoin E Altre)
La Banca d'Italia ha pubblicato, nell'ambito dei propri poteri di emanare provvedimenti di carattere generale delle autorità creditizie, una Comunicazione in data 30 gennaio 2015.
Italy
5 Feb 2015
9
Vendita Di Prodotti Finanziari Complessi Alla Clientela Retail In Italia
Consob, con la Comunicazione n. 0097996 del 22 dicembre 2014, sconsiglia la vendita alla clientela retail di strumenti opachi e poco comprensibili.
UK
7 Jan 2015
10
Depositari Centrali Di Titoli
L'ESMA ha diffuso una serie di consultation paper in relazione al regolamento UE sui depositari centrali di titoli (CSD Regulation), al fine di raccogliere il riscontro degli operatori in merito a...
Italy
7 Jan 2015
11
Crowdfunding - 23 December 2014
L'ESMA ha infine pubblicato un parere (Opinion) e un consiglio d'indirizzo (Advice) sul crowdfunding (in particolare, l'investment-based crowdfunding).
UK
7 Jan 2015
12
Debitori Ipotecari In Default
L'EBA (European Banking Authority) ha posto in pubblica consultazione le linee guida per il trattamento dei debitori ipotecari in default e le azioni esecutive verso gli stessi (arrears and foreclosure) ai sensi della Direttiva sul Credito Ipotecario (Mortgage Credit Directive o MCD).
Italy
24 Dec 2014
13
Obligations For Approved Persons Don’t Stop At The Office Door
The FCA banned Jonathan Burrows, a former Managing Director at Blackrock Asset Management Investor Services Limited, from working in the financial services industry.
UK
18 Dec 2014
14
FCA Supervision - Thematic Reviews
We can expect to see further changes with respect to complaints handling.
UK
10 Dec 2014
15
Financial Crime - Bribery Act
A speech has been published by the Serious Fraud Office (SFO) whereby Stuart Alford QC, SFO Joint Head of Fraud, spoke on enforcement of the Bribery Act 2010.
UK
10 Dec 2014
16
CRV IV - Remuneration
Mark Carney, Governor of the Bank of England, gave a speech to the Monetary Authority of Singapore targeting bankers’ fixed pay as well to make bankers more personally accountable and to change their behaviour.
European Union
9 Dec 2014
17
US Regulation - SEC Sanctions Foreign Bank For Failure To Register
The US Securities and Exchange Commission (SEC) has issued a cease and desist order and has imposed remedial sanctions upon a foreign bank which failed to register as a broker-dealer or as an investment adviser.
United States
9 Dec 2014
18
Linee Guida E Modelli Interni Per Solvency II
L'EIOPA ha posto in pubblica consultazione gli standard di implementazione di Solvency II, relativi a moduli, protocolli e procedure da utilizzarsi in determinate aree di operatività di Solvency II.
European Union
9 Dec 2014
19
Cartolarizzazioni E Informativa Al Pubblico
La Banca d'Italia ha posto in pubblica consultazione la revisione delle disposizioni di vigilanza in materia di operazioni di cartolarizzazione e introduce previsioni in materia di informativa al pubblico in merito alle attività impegnate (Asset Encumbrance).
UK
9 Dec 2014
20
Segregazione Degli Asset Dei Fondi Di İnvestimento
Un ruolo fondamentale nell'architettura della segregazione degli asset è ricoperto dalle banche depositarie e dagli altri soggetti autorizzati alla custodia degli asset degli AIF.
Italy
8 Dec 2014
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