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US Federal Appeals Court vacates insider trading convictions of hedge fund traders
The US Court of Appeals for the Second Circuit in United States v. Newman, 13-1837 (2d Cir. Dec. 10, 2014), vacated the convictions of two former hedge …
Some positive FCA feedback on conflicts of interest for Wealth Management firms
In welcome news for the industry, the FCA in late November 2014 expressed pleasure in reporting generally positive findings from its thematic review …
Financial System Inquiry - Final Report
The Financial System Inquiry (FSI), chaired by David Murray AO, yesterday released its Final Report, which has proposed some significant changes for the …
Hong Kong regulators call on senior management to ensure that their firm's information security management and system security controls are effective
Senior Managers of firms licensed by the Securities and Futures Commission ("SFC") should take heed of the twin circulars recently issued by the …
Irreconcilable differences? Bank directors, shareholders and regulators
Those tasked with governing UK banks have always faced difficulties in balancing competing interests. This stems in part from the fact that banks …
European Bank Stress Tests and Asset Quality Reviews
The European Central Bank (ECB) and the European Banking Authority (EBA) have published the results of the latest stress tests and asset quality reviews …
Hong Kong Market Misconduct Tribunal imposes a 4 year ban on Tiger Asia and Mr Hwang
On 7 October 2014, the Hong Kong Market Misconduct Tribunal (MMT) made “cold shoulder orders” and “cease and desist orders” against New …
Herbert Smith Freehills launches new legal guide to "Financial Services Regulation in Asia Pacific"
Herbert Smith Freehills officially launched its new legal guide to "Financial Services Regulation in Asia Pacific" on 9 October 2014 in Hong Kong …
UK: FPC seeks new macro-prudential tools
The Bank of England’s Financial Policy Committee (FPC) has recommended that HM Treasury should exercise its statutory power to prescribe two new …
UK consults on bringing seven new benchmarks within the regulatory framework
The Government has launched a consultation on bringing additional financial benchmarks into the regulatory framework originally implemented for …
UK: Senior Managers, certification and conduct rules: a new regulatory framework for individuals in banking
The final report of the Parliamentary Committee on Banking Standards criticised not just the "firewall of accountability" around senior individuals …
Banking Litigation update
We have published our latest Banking Litigation Update, summarising some of the more important cases and developments affecting UK financial institutions …
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