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Enforcement action

Set out below are thoughts from Allen & Overy’s market leading investigations team on issues relating to enforcement action taken by the FCA, as well as other regulators in the UK and overseas.

The French Anti-Corruption Agency’s 2019 Report: Key Takeaways

Earlier this month, the French Anti-Corruption Agency (Agence française anticorruption) published its 2019 annual report, setting out its main actions over the course of last year as regards training and awareness, enforcement and cooperation. France needs to strengthen its anti-corruption culture and framework Whilst noting that France dropped from 21st to the 23rd on the Read More

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“Strong and prompt enforcement” under Nikhil Rathi, new Chief Executive of the FCA

Nikhil Rathi[1] gave evidence last week to the Treasury Committee following the announcement on 22 June that he will be the new permanent Chief Executive of the UK Financial Conduct Authority (FCA) in Autumn 2020. Commentators have noted that likely priorities for Mr Rathi will be the Covid-19 debt burden, post-Brexit regulation, consumer protection and Read More

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SEC being forced to change its enforcement approach

In a conversation with A&O partner and former SEC Enforcement Official Bill White, Billy Jacobson explores the Supreme Court’s decision in SEC v. Liu decided in late June 2020, and two other recent Supreme Court decisions which are already having an impact on the SEC’s ability to bring cases going forward. To listen to the podcast click here. Read More

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SFC Enforcement Trends

Hong Kong’s Securities and Futures Commission (the SFC) recently published its annual report for 2019 to 2020. The report highlights the SFC’s regulatory work for the period dated April 2019 to March 2020 (the 2019/2020 Period). As part of this, the SFC has published information on its enforcement actions, in addition to its regular enforcement Read More

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Direct access – a sea change in data gathering in UK/U.S. criminal investigations

A new UK/U.S. bilateral agreement for accessing electronic data in cases of serious crime, which was negotiated and released in autumn 2019, is about to enter into force. The Agreement represents a sea change in cross-border investigations.  The Agreement permits criminal authorities in each country to obtain electronic data directly from a range of telecommunications Read More

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