Sam Millar

Sam Millar

DLA Piper

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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

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