Calum Burnett

Calum Burnett

Allen & Overy LLP

Contact  |  View Bio  |  RSS

Latest Publications

Share:

Asset Management Firms And The Risk Of Market Abuse: Key Practical Points From The FCA's Thematic Review Feedback And Recent FCA...

Tackling market abuse continues to be a strategic priority for the FCA. In late 2014, the FCA undertook a thematic review into asset management firms and the risk of market abuse, the results of which were published in...more

5/25/2015 - Asset Management Compliance Enforcement Enforcement Actions Financial Conduct Authority Financial Institutions Fund Managers Insider Trading Risk Management Risk Mitigation Trade Market Abuse

FCA And PRA Senior Managers And Certification Regime –March 2016 Implementation Date Announced

Rules due to come into force in March 2016 Yesterday HM Treasury announced the commencement date for the new FCA and PRA Senior Managers and Certification Regime. Relatively limited information has been released, but...more

3/6/2015 - Certifications Financial Conduct Authority New Regulations Prudential Regulation Authority Treasury UK

Review Of FCA And PRA Enforcement Processes: HM Treasury Findings And Recommendations

On 18 December 2014, HM Treasury published a final report following the review that it has undertaken of enforcement decision-making processes at the FCA and the PRA. Originally published in Practical Law on February...more

2/23/2015 - Enforcement Financial Conduct Authority Public Records Act Treasury UK

Government launches review of FCA and PRA enforcement processes

On 6 May 2014, the Chancellor of the Exchequer announced that HM Treasury would undertake a review of the enforcement decision making processes for the Financial Conduct Authority (the FCA) and Prudential Regulation Authority...more

5/16/2014 - Administrative Hearings Decision-Making Process Enforcement Actions FCA FSA HM Treasury Prudential Regulation Authority Settlement

4 Results
|
View per page
Page: of 1

"My best business intelligence, in one easy email…"

Your first step to building a free, personalized, morning email brief covering pertinent authors and topics on JD Supra:

Sign up to create your digest using LinkedIn*

*With LinkedIn, you don't need to create a separate login to manage your free JD Supra account, and we can make suggestions based on your needs and interests. We will not post anything on LinkedIn in your name. Or, sign up using your email address.
×