• Related sites

    • SELECT FROM

       

      About the site

      Mishcon New York

      Mishcon New York

      Mishcon de Reya New York LLP opened in 2010 with a small group of lawyers having two things in common: a proven track record in New York City and a desire to create a new kind of law firm in the city.

      Business Shapers

      Business Shapers

      Sharing and celebrating the knowledge, innovation and creativity that is shaping the business world.

      Jazz Shapers

      Jazz Shapers

      Jazz Shapers is presented by Mishcon de Reya's Director of Business Development and former LBC presenter Elliot Moss. During each show, Elliot will be interviewing shapers of the business world, people who, like the musicians in the show, have defied convention and gone on to achieve great success.

      Lawfully Chic

      Lawfully Chic

      A blog for art-lovers and adventurers, fashionistas and culture vultures, who believe in fair play, fair trade and fair travel.

      Mayfair Private

      Mayfair Private

      Mishcon de Reya has created Mayfair Private to provide private advisory services for a select group of families by bringing together a broad range of highly qualified professionals to seamlessly manage their affairs.

      MDR Lab

      MDR Lab

      A programme open to early stage and growth technology start-ups, whose products or services are applicable to the legal industry.

      Mishcon Academy

      Mishcon Academy

      The Academy is Mishcon de Reya's in-house place of learning, our driver for growth and a platform for thought leadership. Here we will bring together urgent societal issues and industry experts to deliver innovative thought leadership on issues that matter to us and to our clients.

      Mishcon Graduates

      Mishcon Graduates

      The future has never been more unpredictable, demanding or challenging. Never before has there been so much information to absorb, so many social and business networks to navigate, and so many economic, political and social issues to confront. And the role of law has never been more pivotal in all of this.

      Mishcon International: Africa

      Mishcon International: Africa

      We are proud to launch Mishcon International: Africa - a dedicated microsite featuring curated content most relevant to the audience in the region. This content will be regularly refreshed, taking into account global developments and their impact across Africa.

      Mishcon International: Asia

      Mishcon International: Asia

      At Mishcon de Reya, we are proud to serve an international community of clients. Based in London, our work is often cross-border and complex. We act as personal advisors, dealing with carefully selected overseas professionals on behalf of our clients. We are experts in preserving, growing and transferring wealth, and our clients in Asia span both the world of corporate and private wealth giving us a unique perspective on the market.

      Mishcon International: Eurasia

      Mishcon International: Eurasia

      Mishcon International: Eurasia - a dedicated microsite featuring curated content most relevant to the audience in the region.

      Mishcon International: Europe

      Mishcon International: Europe

      We are proud to launch Mishcon International: Europe - a dedicated microsite featuring curated content most relevant to the audience in the region.

      Mishcon International: Middle East

      Mishcon International: Middle East

      Mishcon de Reya has now launched Mishcon International: Middle East - a dedicated microsite featuring curated content most relevant to the audience in the region. This content will be regularly refreshed, taking into account global developments and their impact on the Middle East.

      Property Shapers

      Property Shapers

      Insights from industry leaders | real estate blog

      The Leap Hub

      The Leap Hub

      The Leap is an initiative to identify 100 of the most exciting, fast-growing companies in the UK. Keep up to date with events and news about The Leap.
Enforcement Watch

Enforcement Watch

Issue 23
Adam Epstein

Editor's Note

This edition highlights some real variety in the last 4 months of enforcement related activity and news. At one end, we consider some culture-focussed developments. At the other, we examine the implications on enforcement of a US appeal judgment. And the period is bookended by two significant speeches that send messages on the FCA's future approach to enforcement, one speech on investigations and the other on enforcement trends. We hope you find this edition interesting.

Read more

Enforcement Case Highlights

10 July 2017: FCA fines compliance officer in respect of pensions transfers and re-iterates its pensions focus - read more

19 July 2017: How a US determination could cause headaches for the FCA and PRA - read more

8 August 2017: The Upper Tribunal Fines and Imposes a SIF Ban on Charles Palmer - read more

On the Horizon

Symington Outlines the FCA's Approach to Investigations - read more

Banking Standards Board consults on guidance for SMCR certification processes - read more

FCA consults on roll-out of SMCR to all authorised firms - read more

Consumer credit firms and complaints handling – are there problems down the line? - read more

Mark Steward speech reflects on FCA enforcement trends - read more

FCA fines compliance officer in respect of pensions transfers and re-iterates its pensions focus

FCA fines compliance officer in respect of pensions transfers and re-iterates its pensions focus

The FCA has fined David Samuel Watters £75,000 and removed his CF10 controlled function.

Read more
How a US determination could cause headaches for the FCA and PRA

How a US determination could cause headaches for the FCA and PRA

The US Court of Appeals of the 2nd Circuit published a decision on 19 July 2017 that could potentially cause some real problems in relation to UK regulatory actions that have a US connection.

Read more
The Upper Tribunal Fines and Imposes a SIF Ban on Charles Palmer

The Upper Tribunal fines and imposes a SIF ban on Charles Palmer

The Upper Tribunal has upheld an RDC decision to fine Mr Palmer £86,961 and to prohibit him from holding any Significant Influence Function (SIF).

Read more
Symington Outlines the FCA's Approach to Investigations

Symington outlines the FCA's approach to investigations

On 15 June 2017, Jamie Symington (Director of Investigations at the Financial Conduct Authority) delivered a speech about the FCA's evolving approach to investigations.

Read more
Banking Standards Board consults on guidance for SMCR certification processes

Banking Standards Board consults on guidance for SMCR certification processes

On 13 July 2017, the Banking Standards Board (BSB) published its consultation on guidance to help Banks navigate the process of certification under the Senior Management and Certification Regime (SMCR).

Read more
FCA publishes its Business Plan

FCA consults on roll-out of SMCR to all authorised firms

As readers of this publication will be aware, the FCA has long planned to roll-out the Senior Managers and Certification Regime (SMCR) to all authorised firms (it currently just applies to Banks, certain investment firms and certain insurers).

Read more
Deutsche Bank Libor/Euribor settlement includes substantial Principle 11 fine

Consumer credit firms and complaints handling – are there problems down the line?

The FCA has written to consumer credit firms a Dear CEO letter dated 13 September 2017 about complaints handling.

Read more
Mark Steward speech reflects on FCA enforcement trends

Mark Steward speech reflects on FCA enforcement trends

In a speech on 20 September 2017, Mark Steward outlined some trends in FCA enforcement, and gave some indications about the future.

Read more

Previous Issues

Prev
 
Next
How can we help you?

How can we help you?

Subscribe: I'd like to keep in touch

If your enquiry is urgent please call +44 20 3321 7000

Crisis Hotline

Emergency number:

Tel:+44 80 0260 0546

I'm a client

Please enter your first name
Please enter your last name
Please enter your enquiry
Please enter a value

I'm looking for advice

Please enter your first name
Please enter your last name
Please enter your enquiry
Please select a department
Please select a contact method

Something else

Please enter your first name
Please enter your last name
Please enter your enquiry
Please select your contact method of choice