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Enforcement Guidance Prudential Regulation Authority (PRA)

A&O Shearman

Ten FCA and PRA enforcement predictions for 2023 – Part 2

A&O Shearman on

This pair of posts focuses on ten less-obvious enforcement predictions that we think will shape the UK financial services investigations and enforcement landscape during 2023 and beyond. Originally published in on...more

A&O Shearman

Ten FCA and PRA enforcement predictions for 2023 – Part 1

A&O Shearman on

This pair of posts focuses on ten less-obvious enforcement predictions that we think will shape the UK financial services investigations and enforcement landscape during 2023 and beyond. Originally published in Practical...more

A&O Shearman

UK Conduct Regulator Publishes Consultation on Regulation of Proxy Advisors under Revised Shareholder Rights Directive

A&O Shearman on

The U.K. Financial Conduct Authority has published a consultation on proposed changes to its Decision Making and Penalties Manual and Enforcement Guide to incorporate its new responsibility for regulation of proxy advisors....more

Williams Mullen

Managing Risks in Vendor Relationships

Williams Mullen on

For years, banks have relied on third party vendors to provide specialized products or services, or have used outsourcing as a way to reduce internal operating costs. In the wake of the financial crisis, however, regulators...more

Dechert LLP

Credit Risk Retention Final Rule: Enforcement and Compliance Considerations

Dechert LLP on

Predicting enforcement of the final rule regarding U.S. risk retention is an uncertain task. This OnPoint is designed to provide guidance on possibilities related to consequences of non-compliance, enforcement approaches by...more

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