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Searching Content indexed under Finance and Banking by Mark Turner ordered by Published Date Descending.
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Title
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Author
Date
1
Walking The Accountability Tightrope
Two paths have emerged in the move toward increased accountability in financial services.
Worldwide
17 Jun 2019
2
EU Council And Parliament Provisionally Agree To Regulatory Supervision Framework
The UK will likely implement its own equivalent Prudential Regime for Investment Firms.
European Union
12 Mar 2019
3
FCA Issues Further Consultation Clarifying And Amending Elements Of The Senior Managers And Certification Regime
The FCA has issued a consultation paper (CP19/4) entitled "Optimising the Senior Managers & Certification Regime and feedback to DP16/4 – Overall responsibility and the legal function".
UK
29 Jan 2019
4
Do UK Regulators Have The Wrong Attitude To Whistleblowing?
The UK should reconsider its reluctance to adopt something similar.
UK
24 Jan 2019
5
One-Year Countdown To SM&CR: Key Considerations For Firms
Duff & Phelps has extensive knowledge and experience in advising firms on the transition to the SM&CR.
UK
22 Jan 2019
6
Jurisdictional Enforcement Trends
Any discussion of the regulatory landscape across the globe is complicated by the dominance of U.S. regulators in the statistics.
Worldwide
5 Nov 2018
7
The Future In Focus
The wheels of justice turn slowly, but grind exceedingly fine, goes the old saying.
Worldwide
1 Nov 2018
8
Spotlight On Sectors
Big banks are still attracting the largest fines from financial regulators. Similar to previous years, investment banking globally was the recipient of the lion's share of penalty amounts handed out in 2017, with fines totaling US$20.6 billion.
UK
31 Oct 2018
9
Regulatory Enforcement Priorities
The end of the big benchmark manipulation cases, which were somewhat thrust upon regulators, and the freeing up of enforcement resources has allowed regulators to pursue more of their own priorities ...
UK
31 Oct 2018
10
Trends In Penalty Amounts
Globally, fine amounts have edged up following a massive fall from the peak of the big benchmark manipulation cases in 2013 and 2014. This in large is dominated by U.S. enforcement actions.
Worldwide
30 Oct 2018
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