Dec 08, 2022 EU Commission proposes targeted changes to EU Market Abuse Regime By Nikunj Kiri Peter Bevan Sumit Indwar Premlata Fagan +1 more... Show less The European Commission has published a package of proposals in connection with its commitment to simplify EU listing rules. The package...
Feb 14, 2022 In 2022, prepare for more enforcement action - and more assertive supervisory interventions By Sara Cody Nikunj Kiri Duncan Campbell 2021 was a year of contrasts when it came to the FCA's and PRA's enforcement work.On the one hand, the regulators rationalised their...
Dec 13, 2021 UK: FCA consults on a new Consumer Duty By Sara Cody Alison Wilson Nikunj Kiri The FCA has published its second consultation paper (the "CP") on its proposed Consumer Duty (the “Duty”). This deals with responses to...
Sep 09, 2021 Non-financial misconduct: clarity from the Upper Tribunal? By Nikunj Kiri Duncan Campbell It has long been recognised that some types of non-financial misconduct (for example criminal convictions relating to offences involving...
Aug 20, 2021 Claiming litigation privilege over an internal investigation report? There's so much to lose and it turns on so little By Duncan Campbell Sara Cody Nikunj Kiri A recent High Court decision illustrates the vexed question of the application of legal professional privilege in the context on internal...