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Confidential Information › Financial Conduct Authority (FCA)

Akin Gump Strauss Hauer & Feld LLP

The FCA Pledges to Improve Its Whistleblowing Framework

Akin Gump Strauss Hauer & Feld LLP on

Overview - A survey conducted by the United Kingdom Financial Conduct Authority (FCA) in early 2022, but published only in 2023, has revealed the stark reality that the regulator is not doing enough for whistleblowers. 15...more

Morrison & Foerster LLP

UK Data Recording Obligations – Have You Got the Message?

Morrison & Foerster LLP on

In recent weeks, the use of encrypted messaging applications for business purposes has returned to the spotlight. In July 2023, legal challenges surrounding the disclosure of messages on devices used by former Prime Minister...more

A&O Shearman

Enforcement risks for firms unauthorised communication applications

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With remote and hybrid working arrangements now the norm for many firms in the wake of the pandemic, risks of misconduct have become heightened by the increased use of unmonitored and/or encrypted communication applications...more

Morgan Lewis - Tech & Sourcing

Global Standard–Setter Publishes Revised Outsourcing Principles

Morgan Lewis - Tech & Sourcing on

The Board of the International Organization of Securities Commissions (IOSCO) has published a set of revised outsourcing principles for regulated entities. IOSCO is an international policy forum for securities regulators and...more

Cohen & Gresser LLP

Firm Chat Application Policy: The Consequences of the UK FCA’s 2020 Prosecution of Konstantin Vishnyak

Cohen & Gresser LLP on

The need for tighter control on employees’ use of chat applications when conducting or discussing company business. What we learned from the FCA’s 2020 Vishnyak prosecution and the FCA’s reminder about the need to record...more

Dechert LLP

Investment Funds Updatea: Europe: Legal and regulatory updates for the funds industry from the key asset management centres and...

Dechert LLP on

HM Treasury Finalises Private Fund Changes to Limited Partnerships Act 1907 - As previously reported, HM Treasury published on 16 January 2017, a draft Legislative Reform (Private Fund Limited Partnerships) Order 2016...more

A&O Shearman

UK Regulator Fines Former Investment Banker for Communicating Confidential Information Via WhatsApp

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The Financial Conduct Authority fined former investment banker Christopher Niehaus £37,198 for sharing client confidential information over WhatsApp. Mr. Niehaus was previously a managing director in the Investment Banking...more

WilmerHale

The European, Middle Eastern and African Investigations Review 2016: United Kingdom: handling internal investigations

WilmerHale on

With so much potentially at stake, the initial steps and strategic decisions taken in any company investigation are critical to setting the tone for a focused, credible and effective inquiry. This is paramount not only for...more

Cooley LLP

Blog: UK Treasury Select Committee presses PRA to relax ‘doctrine’ of supervisory confidentiality

Cooley LLP on

The UK’s Treasury Select Committee (TSC) has just published an exchange of correspondence between Andrew Tyrie MP (chair of the TSC) and Andrew Bailey (CEO of the Prudential Regulation Authority (PRA)). The correspondence is...more

Dorsey & Whitney LLP

This Week In Securities Litigation (Week ending August 14, 2015)

Dorsey & Whitney LLP on

A second insider trading action was brought by the Commission against a senior banking official based on the same take-over for which he was previously charged — but a different securities trading account is at the center of...more

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