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Editor's note

Posted on 5 September 2022

Daniel Naftalin - Mishcon de Reya

Welcome to our autumn 2022 edition of Executive Matters, our quarterly publication tailored to the challenges and legal issues faced by Senior Executives.

We begin this issue by looking at recent developments with an international flavour. Our Corporate and Real Estate colleagues discuss the implications of the new requirement for overseas owners of UK property to register their identities at Companies House. We also consider the European Commission's decision to adopt a proposal for a Corporate Sustainability Due Diligence Directive, which aims to ingrain human rights and environmental considerations into business policy and to encourage sustainable and responsible corporate behaviour.      

Keeping with the international theme, but turning now to financial services, our in-house Financial Conduct Authority (FCA) experts discuss the Securities and Exchange Commission (SEC)'s recent clamp down on ESG-related misconduct in the US, and consider whether the FCA may follow suit in the UK. Unusually, there have also been two published FCA cases against directors of listed stocks in the last quarter alone, and our Financial Services Investigation and Enforcement team explains what both executive and non-executive directors need to understand about them.   

We conclude with some strategies for senior executives to avoid and/or manage instances where they are accused of wrongdoing. Our White-Collar Crime and Investigations group looks at what senior personnel can do to minimise the risk of personal liability arising from non-compliance with workplace health and safety legislation. Likewise, our Investigations team sets out key "Dos and Don'ts" for those who find themselves involved in an internal workplace investigation, as the subject of a complaint.

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