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Australia, Corporate Governance, Corporate Law, Risk Management

UK: Principals’ liability when Appointed Representatives go rogue

www.mishcon.com/news/publications/enforcement-watch-25/principals-liability-when-appointed-representatives-go-rogue Update: www.globalcompliancenews.com/2022/01/09/united-kingdom-treasury-and-fca-propose-stronger-oversight-of-appointed-representatives-14122021/#page=1 Imminent changes to the appointed representatives regime www.mishcon.com/news/principals-and-appointed-representatives-in-the-fcas-sights www.cms-lawnow.com/regzone/articles/2022/august/oversight-of-appointed-representatives?cc_lang=en www.engage.hoganlovells.com/knowledgeservices/news/appointed-representatives-fca-confirms-changes-to-increase-responsibilities-of-principal-firms www.mishcon.com/news/principals-and-appointed-representatives-in-the-fcas-sights gtlawinfo.com/rv/ff0096a2950ce00d177f9e6dd348885169a5da7d www.cadwalader.com/fin-news/index.php?nid=24&eid=197 FCA publishes policy statement on improvements to the Appointed Representative regime finreg.shearman.com/UK-Conduct-Regulator-Publishes-Policy-Statement-on#page=1 FCA improves its appointed representative regime amid UK consumer-harm concerns – Osborne Clarke | Osborne Clarke AR they fit for...
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Banking, Litigation, Risk Management, UK

UK: FCA imposes sanctions on bank for AML failings

blog.macfarlanes.com/post/102ex4k/the-fca-imposes-sanctions-for-aml-failings www.fca.org.uk/news/press-releases/fca-fines-and-imposes-restriction-canara-bank-anti-money-laundering-systems-failings See also: Blog: How effective are the FCA’s criminal and civil powers to combat money laundering? 0
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Money Laundring, Risk Management, UK Money Laundring, Risk Management, US China, Corporate Law, Risk Management Money Laundring, Regulatory, Risk Management, US Litigation, Regulatory, Risk Management, US

UK: Financial services, bribery and the adequate procedures defence

www.burges-salmon.com/news-and-insight/legal-updates/bribery-adequate-procedures-the-only-defence-for-financial-services-firms/ www.burges-salmon.com/news-and-insight/legal-updates/first-case-on-bribery-acts-adequate-procedures-defence-five-things-you-need-to-know/ Click to access bribery-act-2010-guidance.pdf See also: www.tltsolicitors.com/insights-and-events/insight/are-your-bribery-procedures-accurate-learnings-from-a-recent-case/ 0
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Money Laundring, Risk Management, UK Family Business, Risk Management, US

UK: Barclay’s CEO Jes Staley fined $870,000 for trying to unmask an anonymous whistleblower

uk.businessinsider.com/barclays-ceo-jes-staley-fined-in-whistleblower-scandal-2018-5 www.minterellison.com/articles/first-case-brought www.fca.org.uk/news/press-releases/fca-and-pra-jointly-fine-mr-james-staley-announce-special-requirements www.bankofengland.co.uk/news/2018/may/fca-and-pra-jointly-fine-mr-james-staley-and-announce-special-requirements-at-barclays See also: FAR Implications: FCA Fines and Bans Barclays CEO | Gilbert + Tobin Lawyers: Law Firm in Sydney, Melbourne & Perth (gtlaw.com.au) www.mishcon.com/news/examining-the-fcas-decision-notice-against-james-staley 0
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Regulatory, Risk Management, UK