Latest by Richard Burger

Publication

The FCA: key themes for 2017/18

Published on 29 September 2017. By Lucy Kerr, Associate and Richard Burger, Partner

A look at key developments for the FCA in 2017 and looking forward to 2018

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Publication

Has the FCA made settling more appealing?

Published on 02 March 2017. By Richard Burger, Partner

Purple tint

Changes to the Regulatory Enforcement Process

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Blog

Meaning of information of a precise nature in market abuse clarified by ECJ

Published on 27 May 2015. By Richard Burger, Partner

Following a recent ECJ decision, the definition of 'inside information' for the purposes of the EU's market abuse regime has been widened.

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Blog

FCA approval times for firms expanding into new business lines up by 85% in two years

Published on 11 May 2015. By Richard Burger, Partner

Based on information obtained from the FCA the time taken to authorise a financial services business adding an additional business line has increased by 85% in the last two years - 18.5 weeks in Q4 2014, up from 10 weeks in Q1 2013.

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Blog

FCA takes a long hard look at how insurance brokers manage the risks of bribery and corruption…

Published on 13 January 2015. By Richard Burger, Partner

Could do better, reports the Financial Crime team of the FCA on the cohort of commercial brokers who were subject to the recent thematic review on managing bribery and corruption risks (TR14/17).

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Blog

'Many eyes' approach to sanctions compliance

Published on 13 January 2015. By Richard Burger, Partner

The many eyes approach to sanctions compliance in the Lloyd's market is not just for managing agents but useful guidance for all.

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Blog

How far will the FCA stretch FIT?

Published on 16 December 2014. By Richard Burger, Partner

Yesterday's Burrows final notice is a further sign that the FCA will look at the personal conduct of Approved Persons outside of their roles in financial services in order to assess their fitness and propriety.

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Blog

Top tips for corporates on conducting internal investigations

Published on 04 March 2014. By Richard Burger, Partner

The ability to conduct and manage an internal investigation...

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Blog

Top tips - internal investigations

Published on 03 March 2014. By Richard Burger, Partner

The ability to conduct and manage an internal investigation in a way which is proportionate to the issue which has arisen as well as timely and cost effective is a skill not to be under-estimated.

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Blog

First it was insurance brokers and now it's investment bankers... FSA tests anti-bribery and corruption controls at investment banks

Published on 13 April 2012. By Richard Burger, Partner

The FSA recently published the findings of its thematic review of anti-bribery and corruption (ABC) systems and controls at 15 investment banks.

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