Tag Archives: Senior Managers Regime

Regulatory Review of 2014

year-in-review

As we close the book on 2014, we look back at the Financial Conduct Authority’s progress and select three important stories of 2014. Continue reading →

5 Tips to Prepare for the Senior Managers Regime

senior management regime

On 23 October the Treasury Committee published its report, Project Verde, in which it was highly critical of the current Approved Person’s Regime. Continue reading →

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 →