Deborah Williams

Deborah Williams

Dechert LLP

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The Year to Review Your Whistleblowing Policy

This year, the UK Financial Conduct Authority (FCA) has placed an increased emphasis on whistleblowing activity, both in relation to whistleblowing within authorised firms and the process of whistleblowing to the regulator....more

10/17/2014 - Chief Compliance Officers Financial Conduct Authority Prudential Regulation Authority UK Whistleblower Protection Policies

Thematic Review by FCA of Asset Managers in the UK

The Financial Conduct Authority has now completed its thematic review of Anti-Money Laundering and Anti-Bribery and Corruption Systems and Controls: Asset Management and Platform Firms (TR13/9). The review of 22 wealth and...more

11/1/2013 - Anti-Bribery Anti-Corruption Anti-Money Laundering Compliance FCA FSA UK UK Bribery Act White Collar Crimes

Financial Services Quarterly Report - Second Quarter 2013

In This Issue: - UK: New Regulators; New Powers - So You Want to be a U.S. Mutual Fund Manager - The New German Rules on High Frequency Trading - Marketing and Distributing Your Fund in the Middle East:...more

7/9/2013 - AIFMD ESA Listings EU Financial Products FPC High Frequency Trading Mutual Funds PRA UK

Financial Services Quarterly Report - Second Quarter 2013: UK: New Regulators; New Powers

The UK Financial Services Authority (“FSA”) was abolished on 1 April 2013 and replaced by three new regulators. The Financial Services Act 2012 introduced the Financial Conduct Authority (“FCA”), the Prudential Regulatory...more

6/28/2013 - Bribery Compliance Corruption Enforcement Actions EU Financial Conduct Authority Financial Services Authority Prudential Regulation Authority Required Documentation Risk Management

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