FCPA Compliance Report: Amanda Carty on a Due Diligence and Risk Management
FCPA Compliance Report: Kristy Grant-Hart on A 360° Review of the Future of Compliance
Great Women in Compliance: Creating Space to Speak Up: The Story Behind Psst.org
Compliance Tip of the Day: Embedded Compliance
Innovation in Compliance: Strategic Compliance in Regulated Industries with Kerri Reuter
Daily Compliance News: April 22, 2025, The Upping Your Game Edition
Episode 365 -- Four Sanctions Cases Everyone Should Know
Innovation in Compliance: The Strength Trap: When Being the Strong One Starts Breaking You – Part 3: Mastering Stress Communication with the C.A.R.E.S. Framework
Daily Compliance News: April 17, 2025, The Musk Fights BEE's Edition
Compliance into the Weeds: The Uncertain Future of Compliance Monitors under the Trump Administration
REFRESH Nonprofit Basics: Insider Transactions and Nonprofits
Compliance Tip of the Day: Role of Compliance in Upcoming Trade Wars
Essentials for Balancing Taxes and Legal Risk
FCPA Compliance Report: AI, Data Compliance, and Ownership - A Conversation with Andrew Hopkins
Episode 364 -- Five Strategies to Mitigate a New Risk Environment
Compliance Tip of the Day: AI Playbook for Compliance Professionals
Compliance into the Weeds: Unsexy Keys to Data Analytics for Compliance Programs
2 Gurus Talk Compliance: Episode 49 - The Depression Episode
Sunday Book Review: April 6, 2025, The Books on Culture Edition
10 For 10: Top Compliance Stories For The Week Ending April 5, 2025
The Financial Markets Standards Board has published the final version of its standard for sharing standard settlement instructions. The standard establishes core principles which set out expected practices for the sharing of...more
The U.K. Financial Conduct Authority has published a Dear CEO Letter on its new strategy for supervising wholesale brokers. The FCA has observed a change in the sector in recent years with larger firms acquiring smaller ones...more
The Financial Markets Standards Board has published its updated final statement of good practice for front office supervision of wholesale traded markets. The statement of good practice sets out 15 good practice statements,...more
The world’s first regulated private/public crossover market is significantly redesigned as a friction-free “private up” rather than “public down” market with rethought approach to disclosure and market abuse....more
We were delighted to host the U.K. Transition Finance Market Review’s (TFMR) flagship event at New York Climate Week, in partnership with the City of London Corporation who host the TFMR secretariat. The session offered a...more
As predicted in our February 1, 2023, client alert, “ESG in 2022 and Predictions for 2023,” a global economic slowdown and ongoing backlash in the U.S. have slowed the momentum of some aspects of the environmental, social and...more
It’s been nearly six months since the Pre-Emption Group (PEG) published its revised Statement of Principles on Disapplying Pre-emption Rights (Principles) and corresponding template resolutions. The revised Principles support...more
This guide summarises certain key provisions of the Code with a focus on issues that are likely to be of particular concern to a bidder. Although reference is made to other statutory and regulatory instruments and regimes,...more
The UK’s Financial Conduct Authority (FCA) published its 2021/22 Business Plan on July 15, setting out its future role, priorities, and how it intends to deliver them. The FCA’s website contains a summary and full copy of the...more
The U.K. Prudential Regulation Authority is consulting on proposals for modernizing the regulatory framework on outsourcing and third party risk management by the financial services sector. The proposals are relevant to...more
Hogan Lovells has prepared a roadmap of the key issues to consider when planning your listing in London. ...more
The U.K. Financial Conduct Authority has published its finalized Approach to Supervision and Approach to Enforcement, following feedback to its consultation between March 21 and June 21, 2018 on drafts of the two approach...more
In this newsletter, we provide a snapshot of the principal European, US and selected international governance and securities law developments of interest to European corporates. ...more
A monthly newsletter covering topics of interest in the field of UK corporate law including mergers and acquisitions, listed companies, equity capital markets, corporate governance and general company law. ...more
The London Stock Exchange (LSE) has announced that its new AIM Rules for Companies (AIM Rules) and AIM Rules for Nominated Advisers (Nomad Rules) will come into force on 30 March 2018. ...more
This alert contains a summary of the primary annual and periodic compliance-related obligations that may apply to investment advisers registered with the Securities and Exchange Commission (the “SEC”) or with a particular...more
Booking model practices used by international banks placed under scrutiny as a result of Brexit. The European Central Bank has been considering the booking model practices used by international banks, and how to prevent...more
In this newsletter, we provide a snapshot of the principal European, U.S. and selected international governance and securities law developments of interest to European corporates. ...more
On 26 October 2017, the Financial Conduct Authority published: - a Policy Statement (PS 17/22) relating to its consultation paper (CP 17/4): Review of the Effectiveness of Primary Markets: Enhancements to the Listing...more
A monthly newsletter covering topics of interest in the field of UK corporate law including mergers and acquisitions, listed companies, equity capital markets, corporate governance and general company law. This month's...more
First director disqualification: UK focus on pursuing individuals as well as companies for breach of competition law - The UK's Competition and Markets Authority has secured its first disqualification of a director of a...more