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A&O Shearman

Executive directors “knowingly concerned” in bank’s breach of the UK listing rules

A&O Shearman on

The UK Upper Tribunal (Tax and Chancery) has upheld the Financial Conduct’s Authority’s (FCA) decision to take action against two former executives of a bank for being “knowingly concerned” in the bank’s breach of the listing...more

A&O Shearman

UK Launches 2023 Review of Senior Manager's and Certification Regime

A&O Shearman on

Following the Edinburgh Reforms announcement in December 2022, the review of the Senior Managers and Certification regime has been kicked off with HM Treasury publishing a call for evidence and the U.K. Financial Conduct...more

Burr & Forman

Florida Supreme Court Adopts Apex Doctrine

Burr & Forman on

On August 26, 2021, the Florida Supreme Court amended the Florida Rules of Civil Procedure to adopt the so-called “apex doctrine” that protects high-level corporate officers from abusive discovery. ...more

Robins Kaplan LLP

Financial Daily Dose 1.24.2020 | Top Story: OCC Hits Former Wells Fargo Execs With Enforcement Actions Over Sham-account Scandal

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The OCC announced yesterday that it’s bringing enforcement actions against five former Wells Fargo bank executives as part of their alleged roles in the bank’s sales practices scandal. The agency further revealed that it’s...more

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