PilieroMazza Annual Review What DOJ’s Annual FCA Report Means for Government Contractors
Recent Changes to BVI Company Law: What You Need to Know
Legal Risk Management Forum: panel highlights
Institutional Firms Enter Crypto Market; Crypto Firms Partner on New Products - According to recent reports, a major global bank is establishing a spot trading desk for buying and selling bitcoin and ether. The new desk,...more
FCA Issues Reminders on Annual Reporting and LTIP Disclosure Requirements - On 22 May 2024, the FCA published Primary Market Bulletin 49 (PMB 49) reminding listed companies of certain continuing obligations under the...more
Planning for the 2024 annual reporting season is underway. We summarise the key legislative changes affecting London-listed companies for the upcoming season along with best practice recommendations....more
On 20 July 2023, the UK Financial Conduct Authority (FCA) published its Annual Report and Accounts for the year ending March 2023 (the “Report”). The Report represents the first opportunity to assess progress made in the...more
The FCA released its 2022/23 Annual Report last week together with data on its key enforcement trends. We consider below some of the key takeaways....more
Last week, the FCA published its Annual Report for 2022/23, which included the usual FCA annual enforcement performance data. Below we have selected 10 key points from the Annual Report that are interesting from an...more
Key Points - The SEC and the FCA each publish annual reports, which can offer a useful insight into their enforcement actions. The data in the reports only represents a snapshot of the regulators’ activities, but is...more
In this episode, Akin Gump litigation partner Richard Hornshaw and counsel Aimee Smart look at the litigation aspects of environmental, social and governance, or ESG, issues in the U.K. and EU....more
In this episode, Akin Gump financial regulatory partner Helen Marshall and white collar defense and government investigations practice co-head Michael Asaro look at SEC and FCA’s annual reports to discuss similarities,...more
Recent changes introduced by the Financial Conduct Authority (FCA) - On 21 December 2020, as we broke for Christmas, the FCA published new Listing Rule 9.8.6R(8) (LR) and guidance requiring commercial companies with a UK...more
The Financial Conduct Authority ("FCA") has published its Annual Report and Accounts for the year 2019/20, including enforcement data for the same year. With the enforcement landscape largely remaining unchanged, is it a case...more
In March 2020, the UK Financial Conduct Authority (the “FCA”) published consultation paper CP 20/3 concerning proposals to enhance climate-related disclosures by listed issuers and clarification of existing disclosure...more
30 July - The Financial Conduct Authority (“FCA”) updated its webpage on the High Court business interruption insurance test case. The Prudential Regulation Authority (“PRA”) published a consultation paper (CP11/20)...more
A non-US-based investment and brokerage firm agreed to settle spoofing allegations by the Commodity Futures Trading Commission by payment of a US $700,000 fine. In accepting this settlement, the CFTC emphasized the...more
The U.K. Treasury Committee has published a report on the Financial Conduct Authority's perimeter of regulation. The Report is part of the Committee's ongoing inquiry, The Work of the Financial Conduct Authority, which is...more
On 3 July 2019, the UK's Financial Conduct Authority published a consultation paper in which it proposed to prohibit the sale to all retail clients of derivatives and Exchange Traded Notes (ETNs) that reference certain types...more
The U.K. Financial Conduct Authority has published its first annual perimeter report, which (i) describes the boundaries of the FCA's regulatory oversight, (ii) considers challenges to the regulatory perimeter and (iii) sets...more
In this week's newsletter, we provide a snapshot of the principal U.S., European and global financial regulatory developments of interest to banks, investment firms, broker-dealers, market infrastructure providers, asset...more
This special report provides a summary of some of the significant changes and developments that occurred in the past year in the private equity and hedge funds space, as well as certain recommended practices that investment...more
In its annual report published last month, the FCA found that suspicious trading in the run up to M&A deals being announced is at a historic low. It reports that its "market cleanliness" statistic for takeover announcements...more
As part of its market monitoring activity reported in its Annual Report published on July 10, the FSA analyzed the scale of share price movements in the two days ahead of regulatory takeover announcements and identified...more