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Comment and Analysis

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Fines and Punishment

The SFO's guidelines for deferred prosecution agreements

Lisa Osofsky (pictured), the director of the United Kingdom's Serious Fraud Office, has an appetite for negotiating deferred prosecution agreements. In line with this, the SFO has released guidelines on the subj...

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Client Reporting

The Ellis Wilson round-up: more winter regulatory news

The year 2020 ended with a small wintry flurry of regulatory activity from the UK’s Financial Conduct Authority. The regulator did enough to remind practitioners that it was still there, but its decisions duri...

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Regulation of Products

Philippine regulator amends Investment Company Act rules

The Securities and Exchange Commission of the Philippines has added to its rules and regulations that relate to the Investment Company Act and that apply to fund managers, investment companies and firms that dea...

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Fines and Punishment

FSC Mauritius sets out policy for settling cases

The Mauritian financial regulator has set out its new approach to the resolution of enforcement cases through settlement, a word that it shrinks from defining fully. Only firms are to be allowed to ask for settl...

Latest News

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Fines and Punishment

Fines and punishments rise under MAR

The European Union’s Securities and Markets Authority's recent annual report shows that national regulators and other authorities imposed a total of €88 million in fines in relation to 339 offences against t...

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Technology

Apex Group proffers SFDR product

The Apex Group, a global provider of financial services, is offering financial firms some software to help them collect the necessary data to report on and comply with the EU's upcoming Sustainable Finance Discl...