In the UK, it has not historically been part of the fabric of our legal and regulatory system to pay whistleblowers who provide evidence to authorities who are investigating potential breaches of law or regulation....more
9/10/2024
/ Department of Justice (DOJ) ,
False Claims Act (FCA) ,
Financial Conduct Authority (FCA) ,
HMRC ,
Pilot Programs ,
Securities and Exchange Commission (SEC) ,
UK ,
UK Competition and Markets Authority (CMA) ,
Whistleblower Awards ,
Whistleblower Protection Policies ,
Whistleblowers
On 11 May 2020, Practical Law published a new practice note, written by Polly James, a partner in our Investigations, Financial Regulation and White Collar practice group, on whistleblower frameworks for financial...more
Under the Senior Managers and Certification Regime (“SMCR”), firms are required to identify and report to the FCA any instances of disciplinary action taken in relation to conduct that would amount to a breach of one of the...more
2/10/2020
/ Artificial Intelligence ,
Banking Sector ,
Blockchain ,
Bribery ,
Cartels ,
Corporate Governance ,
Corporate Misconduct ,
Environmental Social & Governance (ESG) ,
EU ,
Financial Conduct Authority (FCA) ,
Financial Institutions ,
Financial Services Industry ,
Hong Kong Securities and Futures Commission (HKSFC) ,
Insurance Industry ,
Payment Systems ,
Risk Management ,
SMCR ,
Technology ,
UK ,
United Arab Emirates (UAE) ,
Whistleblower Protection Policies
At our recent Funds First seminar we shared some technical and market issues and updates on the Senior Managers and Certification Regime (SMCR) and the FCA’s current cross-sector focus on culture. This briefing sets out some...more