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18 Results

Joseph Ninan
Insights
Jul 28, 2023

FCA publishes its 2022/23 Annual Report and Enforcement data

The FCA released its 2022/23 Annual Report last week together with data on its key enforcement trends. We consider below some of the key takeaways.
Insights
Jul 13, 2023

Supreme Court narrows the scope of the Quincecare duty in Philipp v Barclays Bank

We are defending financial institutions from multiple claims for breach of the so called Quincecare duty and have seen claimant law firms increasingly seek to expand the scope of the duty to try to…
Insights
8 August 2022

FCA fines chair of a listed company for unlawfully disclosing inside information

The chair of a premium-listed company has been fined £80,000 for unlawfully disclosing inside information to major shareholders before the information was announced to the market. This case acts as a…
Insights
May 20, 2021

FCA consults on changes to Investment Research and Best Execution reporting

On 28 April 2021 the Financial Conduct Authority (FCA) published a consultation paper (CP 21/9) on proposed changes to its investment research rules and best execution reporting requirements. We…
Insights
Mar 25, 2021

What does the BEIS White Paper mean for audit enforcement?

The Government has published its long-awaited White Paper on the reform of the UK’s audit and corporate governance framework including a package of measures aimed at improving controls in the wake of…
Insights
Mar 12, 2021

A new dawn or a false dawn for UK audit enforcement?

The proposed replacement of the Financial Reporting Council by the Audit, Reporting and Governance Authority (ARGA) as the UK’s new audit regulator should lead to a change in approach to audits and…
Insights
Feb 26, 2021

Start preparing for long term changes to Corporate Criminal Liability

Recent developments in the UK have increased the likelihood that the English common law corporate criminal liability regime will change significantly, even if not in the near future. Companies should…
Insights
Nov 18, 2020

Corporate Criminal Liability in the UK: A new era is coming… isn’t it?

“It has no soul to be damned and no body to be kicked”.1 How, then, can a company be held criminally liable? Various jurisdictions have grappled with this question and recent developments in the UK…
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