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165 Results

Financial Regulation Compliance & Investigations
Insights
Mar 12, 2024

Caught in the crosshairs

How the PRA’s new Early Account Scheme impacts individuals
Insights
Jan 29, 2024

Navigating the Corporate Transparency Act maze: hidden pitfalls of employee structuring for the large operating company exemption

*A significant point of consideration for larger, privately held companies lies in the structuring of their employee base. Many companies opt for a structure where all employees are retained in a…
Insights
Nov 01, 2023

The CFTC is not your friend

Insights
Oct 16, 2023

Applying the FCA’s proposed new guidance on non-financial misconduct

Non-financial misconduct in financial services firms is back at the top of the agenda following the concurrent publication of the FCA’s Consultation Paper 20/23 (Diversity and inclusion in the…
Insights
Jul 25, 2023

‘Finfluencers’ beware – FCA consults on new social media financial promotions guidance

The FCA is continuing to crack down on firms and ‘finfluencers’ using social media for non-compliant and illegal financial promotions and this week has announced plans to update its existing guidance…
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