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The UK’s financial regulator will focus on potential breaches of systems and controls rules if it takes enforcement action against banks over the use of personal messaging apps to conduct business, lawyers say.
01 November 2022
In the latest counsel watch, King & Spalding concluded an investigation into the culture of professional women’s football in the US, and firms represented banks and a well-known celebrity in connection with various SEC enforcement actions.
04 October 2022
The SEC has announced a “first-of-its-kind group resolution” against 11 financial institutions for breaching rules governing the use of personal devices at work.
28 September 2022
The SEC has fined US mining company Compass Minerals $12 million over disclosure failures related to a Canadian mine and a contamination problem at a Brazilian chemical plant.
26 September 2022
Anthony Patterson faces up to 12 years in Danish prison if found guilty in the Nordic country.
20 September 2022
UK practitioners condemned the UK’s anti-fraud watchdog for the “basic” failures described in recent reviews of the agency and say the reports provide an urgent opportunity for learning and reflection by the SFO and the government.
28 July 2022
UK bank Barclays has agreed to an in-principle $200 million settlement with the SEC and the CFTC over the unauthorised use of personal messaging services by its employees.
28 July 2022
A Manhattan federal judge ordered the former head of Herbalife’s China to pay $550,000 after failing to respond to a civil suit alleging that he bribed Chinese government officials.
13 July 2022
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