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Confidential Information United Kingdom Financial Conduct Authority (FCA)

Latham & Watkins LLP

Recent Developments for UK PLCs - April 2025

Latham & Watkins LLP on

On 14 March 2025, the FCA published Primary Market Bulletin 54, which raised concerns around the leaking of inside information by individuals at a company or by its advisers on live M&A transactions. The FCA specifically...more

Akin Gump Strauss Hauer & Feld LLP

The FCA Pledges to Improve Its Whistleblowing Framework

Overview - A survey conducted by the United Kingdom Financial Conduct Authority (FCA) in early 2022, but published only in 2023, has revealed the stark reality that the regulator is not doing enough for whistleblowers. 15...more

Morrison & Foerster LLP

UK Data Recording Obligations – Have You Got the Message?

In recent weeks, the use of encrypted messaging applications for business purposes has returned to the spotlight. In July 2023, legal challenges surrounding the disclosure of messages on devices used by former Prime Minister...more

A&O Shearman

Enforcement risks for firms unauthorised communication applications

A&O Shearman on

With remote and hybrid working arrangements now the norm for many firms in the wake of the pandemic, risks of misconduct have become heightened by the increased use of unmonitored and/or encrypted communication applications...more

Morgan Lewis - Tech & Sourcing

Global Standard–Setter Publishes Revised Outsourcing Principles

The Board of the International Organization of Securities Commissions (IOSCO) has published a set of revised outsourcing principles for regulated entities. IOSCO is an international policy forum for securities regulators and...more

Cohen & Gresser LLP

Firm Chat Application Policy: The Consequences of the UK FCA’s 2020 Prosecution of Konstantin Vishnyak

Cohen & Gresser LLP on

The need for tighter control on employees’ use of chat applications when conducting or discussing company business. What we learned from the FCA’s 2020 Vishnyak prosecution and the FCA’s reminder about the need to record...more

A&O Shearman

UK Regulator Fines Former Investment Banker for Communicating Confidential Information Via WhatsApp

A&O Shearman on

The Financial Conduct Authority fined former investment banker Christopher Niehaus £37,198 for sharing client confidential information over WhatsApp. Mr. Niehaus was previously a managing director in the Investment Banking...more

WilmerHale

The European, Middle Eastern and African Investigations Review 2016: United Kingdom: handling internal investigations

WilmerHale on

With so much potentially at stake, the initial steps and strategic decisions taken in any company investigation are critical to setting the tone for a focused, credible and effective inquiry. This is paramount not only for...more

Cooley LLP

Blog: UK Treasury Select Committee presses PRA to relax ‘doctrine’ of supervisory confidentiality

Cooley LLP on

The UK’s Treasury Select Committee (TSC) has just published an exchange of correspondence between Andrew Tyrie MP (chair of the TSC) and Andrew Bailey (CEO of the Prudential Regulation Authority (PRA)). The correspondence is...more

Dorsey & Whitney LLP

This Week In Securities Litigation (Week ending August 14, 2015)

Dorsey & Whitney LLP on

A second insider trading action was brought by the Commission against a senior banking official based on the same take-over for which he was previously charged — but a different securities trading account is at the center of...more

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