FSR and Corporate Crime Notes

ClientEarth’s application for judicial review of UK FCA decision to approve prospectus refused

OFSI updates guidance on enforcement and monetary penalties for financial sanctions breaches and publishes first breach report without imposing a monetary penalty

FCA publishes new Discussion Paper in a bid to promote financial sustainability in firms

FCA publishes final IFPR remuneration disclosure rules

Climate-related disclosures for issuers: FCA publishes final rules

ESMA proposes changes to MiFID II inducements and costs and charges disclosure regimes

On 1 April 2019 the European Securities and Markets Authority (ESMA) published its final report to the European Commission (EC) setting out its technical …

COURT OF APPEAL UPHOLDS DISCLOSURE ORDER DESPITE RISK OF PROSECUTION IN IRAN

Herbert Smith Freehills edits and contributes chapters to Getting the Deal Through – Financial Services Litigation 2018

There has been a significant rate of global growth of litigation in the financial services sector following the 2008 global financial crisis. While the …

NEW BENEFICIAL OWNERSHIP REGIME IN INDONESIA POSES COMPLIANCE RISKS FOR CORPORATES

Effective from 5 March 2018, all corporations in Indonesia are required to disclose at least one person as their beneficial owner upon registering for …

SFC focuses on the role of financial advisers and valuers in advising listed companies in corporate transactions

The Securities and Futures Commission (SFC) has issued a circular to financial advisers to provide guidance on its expectations as to their role when …

#MAR_bitesize

MAR MONDAY On 3 July 2016, the EU Market Abuse Regulation (MAR) (EU 596/2014) replaced the Market Abuse Directive (MAD) and the current UK regimes for …

Use of predictive coding for e-disclosure endorsed by English High Court

A decision of the English High Court handed down earlier this week has expressly approved the use of predictive coding (also known as technology assisted …