Sam Millar

Sam Millar

DLA Piper

Contact  |  View Bio  |  RSS

Latest Publications

Share:

Financial Services Regulation: Exchange – International Newsletter - Issue 26 – May 2015

DLA Piper’s Financial Services International Regulatory team welcomes you to the twenty-sixth edition of ‘Exchange – International’ – an international newsletter designed to keep you informed of regulatory developments in the...more

6/2/2015 - AIFMD AML/CFT Australia Banks Basel III Capital Markets Crowdfunding Deutsche Bank ESMA EU EU Directive Financial Institutions Financial Regulatory Reform Financial Services Industry Foreign Banks Libor Middle East MiFID Netherlands Securities Shadow Banking Spain UK United States

Letter From America: Internal investigations – a stark reminder of the dangers of failing to implement strict protocols from the...

A recent ruling in long-running civil litigation against the Bank of China (“BOC”) in the United States District Court for the Southern District of New York provides a stark reminder of the dangers of failing to develop and...more

3/13/2015 - Attorney-Client Privilege Chief Compliance Officers Demand Letter Disclosure Discovery Functional Equivalent Internal Investigations International Litigation Legal Advice Privilege People's Bank of China Work Product Privilege

Exchange – International Newsletter: Issue 24 – October 2014

WELCOME - DLA Piper’s Financial Services International Regulatory team welcomes you to the twenty-fourth edition of ‘Exchange – International’ – an international newsletter designed to keep you informed of regulatory...more

11/5/2014 - Banks Compliance Enforcement Enforcement Actions EU FCA Financial Regulatory Reform Foreign Banks Leverage Ratio Liquidity Coverage Ratio Payday Loans Prudential Regulation Authority SEC UK

Ian Hannam - Much Needed Clarity On Market Abuse?

Last month the Upper Tribunal (the "Tribunal") rejected an appeal by Ian Hannam ("Hannam") against the Financial Services Authority's ("FSA") (predecessor to the Financial Conduct Authority) controversial 2012 decision that...more

7/2/2014 - Banks Enforcement Equity Markets Financial Markets FSA Insider Trading JPMorgan Chase UK

5 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.
×