Tag Archives: regulatory risk

A new regulatory threat for directors of U.K.-listed companies

You are a director of a U.K.-listed company but not its Chief Financial Officer. A significant error is discovered in the financial statements going back several years, as a result of which the accounts have had to be restated. If … Continue reading →

Am I exposed to/protected from regulatory liability? Search me!

I took part recently in a webcast run by the British Bankers Association (BBA) entitled: “What to do When the Regulator Comes Calling” . Continue reading →

Fintech’s Achilles heel: The U.S. regulatory system

American Fintech is in danger. There is a real risk that financial innovation will fall between the cracks of what is already a convoluted system of regulation in this country. That is bad for everyone. It’s bad for the innovators … Continue reading →

A Regulatory Review of 2015

year-in-review

This year has been full of ups and downs at the Financial Conduct Authority (FCA). Fundamentally, it has become a year of change. In this article, I look back at the FCA’s more significant successes and challenges of 2015. I … Continue reading →

Big Data: Is the Property Sector Making the Most of it?

Big data refers to computer analysis of data sets too large for the human mind to process. Trends and patterns, which computer algorithms spot, can offer businesses powerful insight allowing them to be more efficient, to better understand their customers … Continue reading →

Personal Accountability: A Checklist for Worried Directors

Personal Accountability Checklist_645x400

I blogged recently on the recent Treasury announcement (still subject to Parliamentary approval) about the abolition of the presumption of responsibility under the senior managers regime (SMR), due to be introduced in the UK in March 2016. In the same … Continue reading →

Regulatory Risk in Private Equity: Broken Windows Everywhere

broken window

For many years, private equity funds in the US enjoyed flying under the regulatory radar. The arrival of the Dodd-Frank Act in 2010 put an end to this long-time luxury as it subjected previously exempt private equity fund managers to … Continue reading →