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Penalties › Compliance › Financial Conduct Authority (FCA)

American Conference Institute (ACI)

U.K. Parliament Giving Whistleblower Protections a Fresh Review

American Conference Institute (ACI) on

Recent legislative developments in the United Kingdom, public remarks from the new director of the UK Serious Fraud Office (SFO), and recent parliamentary hearings on the Post Office Horizon scandal put a spotlight on...more

WilmerHale

OFSI Issues Updated Guidance Relating to Assessments of due Diligence Conducted in Relation to the “Ownership and Control” Test,...

WilmerHale on

The Office of Financial Sanctions Implementation (OFSI) has updated its ‘enforcement and monetary penalties for breaches of financial sanctions’ guidance, which was last updated in June 2022. ...more

Orrick - Finance 20/20

Lloyds Banking Group Face £28 Million Fine in Relation to Sales Incentive Controls

Orrick - Finance 20/20 on

On December 11, the FCA published a final notice to Lloyds Banking Group in which it was fined a record GBP £28 million. The fine was imposed for “serious failings” in its sales practices, the largest UK regulatory penalty...more

Troutman Pepper

The EU’s Alternative Investment Fund Managers Directive: Marketing Impact On Non-European Fund Managers

Troutman Pepper on

Alternative investment fund managers based outside the European Economic Area (EEA) who wish to market their alternative investment funds (AIFs) to European investors are rightly concerned about additional restrictions and...more

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