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Financial Services - Regulatory & Risk

Blog

FCA examines blockchain technology in financial services in its new discussion paper

Published on 12 May 2017. By Dil-veer Kang , Trainee solicitor

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FCA discussion paper on distributed ledger technology and blockchain technology

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Publication

Private Fund Limited Partnership

Published on 10 May 2017. By Anthony Shatz, Partner

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Welcome addition of a new investment funds vehicle

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Blog

The Proceeds of Crime Act 2002: harsh but fair?

Published on 05 May 2017. By Davina Given, Partner

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A recent case highlights the dilemma of businesses whose assets are frozen as suspected proceeds of crime.

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Blog

Warning: Enhanced Penalties for Financial Sanctions

Published on 05 May 2017. By Dil-veer Kang , Trainee solicitor

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Penalties for breaching financial sanctions have increased this week (since 2 May 2017) as HM Treasury brings The European Union Financial Sanctions (Enhanced Penalties) Regulation 2017 (the Regulation) into force.

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Blog

In-specie pension contributions - what's the fuss all about?

Published on 08 March 2017. By Rachael Healey, Legal Director

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SIPP and SSAS providers and members continue to be left in limbo over potential tax charges arising from in-specie contributions. HMRC has suspended tax relief on contributions whilst it investigates the position, leaving providers and members without tax relief and the risk of tax assessments back to 2009.

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Publication

Has the FCA made settling more appealing?

Published on 02 March 2017. By Richard Burger, Partner

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Changes to the Regulatory Enforcement Process

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Blog

Robo-Advice: not so black and white?

Published on 15 February 2017. By Matthew Watson, Associate

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The Chairman of the FCA, John Griffith-Jones has provided an insight into the Regulator's concerns that the advent of technological developments has blurred the distinction between when customers are receiving advice or guidance.

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Blog

The importance of retainer letters

Published on 15 February 2017. By Rachael Healey, Legal Director

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Court strikes out claim that an adviser owed a duty to point out a claim against a former adviser

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Blog

The long arm of the law: chasing the proceeds of (alleged) crime

Published on 13 February 2017. By Davina Given, Partner

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The English Court has recently upheld a freezing order over the sale proceeds from shares alleged to be a Canadian company's bribes to a Chadian diplomat's wife in the US.

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Publication

Investment funds, January 2017

Published on 19 January 2017. By Anthony Shatz, Partner

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Senior Manager’s Regime and its applicability to all regulated firms - The FCA is consulting on extending the Senior Managers and Certification Regime (SM&CR) to all regulated financial services firms in 2018, which will include many managers of investment funds.

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