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WhatsApp Financial Conduct Authority (FCA)

A&O Shearman

Remote working: No excuse for non-compliance with obligations to record telephone conversations and electronic communications

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The UK Financial Conduct Authority (FCA) has emphasised in the latest edition of its Market Watch Newsletter its expectations for firms to record telephone conversations and electronic communications in light of the increased...more

Cohen & Gresser LLP

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

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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

BCLP

FCA fail to secure conviction in first criminal prosecution for destruction of documents

BCLP on

In the first prosecution of its kind brought by the Financial Conduct Authority (FCA), Konstantin Vishnyak has been acquitted by a jury at Southwark Crown Court of one count of destruction of documents under the Financial...more

Robins Kaplan LLP

Financial Daily Dose 1.28.2020 | Top Story: Markets Tumble as Fears Spread Over Coronavirus Epidemic

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A mounting death toll (over 106 and counting) and fears of a coronavirus pandemic sent markets tumbling early on Monday and kicked off a selloff that continued all day....more

Proskauer Rose LLP

Regulation Round Up - May 2017

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2 May - The FCA published its Policy Statement on the FCA's disclosure rules following application of PRIIPs Regulation (PS17/6). The Policy Statement sets out how the FCA's disclosure requirements will change to reflect...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

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