Tag Archives: Senior Managers Regime

Financial Fraud: Learning from Each Other

On Wednesday September 17, Eric Holder, the US Attorney General gave a speech about prosecuting corporates and senior individuals within the banking industry for financial fraud. Continue reading →

Invesco Final Notice

penalty card

The UK financial services regulator, the Financial Conduct Authority (“FCA”) recently imposed a penalty upon Invesco Asset Management and Invesco Fund Managers of £18.6m for failings in fund management. Continue reading →

Deferred Prosecution Agreements in the UK: Should Directors Worry?

Maginot Line

Should directors worry about deferred prosecution agreements, or are DPAs just another instance of facing the right enemy but in the wrong direction? Continue reading →

Corporate Manslaughter, Directors Duties and the Meaning of Neglect

D&O, directors and officers insurance, corporate manslaughter

I posted a blog a little while back on the subject of corporate manslaughter which seemed to provoke a lot of interest not least from the Japanese broadcasters NHK who were researching a documentary on the subject. More recently I … Continue reading →