by AdrianaAMLP | Feb 6, 2025
This report strongly criticises the FCA’s proposed policy shift on publicizing enforcement investigations, highlighting concerns over reputational damage, lack of stakeholder engagement, and potential misalignment with the UK’s competitiveness goals…...
by AdrianaAMLP | Feb 3, 2025
Outlines the SFO’s review of digital evidence processing systems, addressing past and current software use, potential issues with search functions, and steps taken to ensure the integrity of investigations…
by AdrianaAMLP | Jan 28, 2025
Highlights key compliance risks and regulatory updates for member firms, including emerging risks like third-party cybersecurity threats, AI implementation, and extended hours trading.
by AdrianaAMLP | Jan 17, 2025
Reports 200 enforcement actions in the first quarter of fiscal year 2025 (October-December 2024), including 118 standalone actions, marking the highest number of filings for this period since 2000. Of these, 75 were filed in October 2024 alone. The cases addressed...
by Jyotsna Bucktowar | Sep 10, 2024
The developments include: An action against an activist short seller related to his publishing of allegedly misleading research reports; The dismissal of many of the SEC’s claims in the SolarWinds litigation; The SEC’s first litigated action relating to the operation...
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