On 20 March 2025, the International Organisation of Securities Commissions (IOSCO) launched a new alerts portal to help combat retail investment fraud. The new portal is called I-SCAN. The alerts and warnings included on the portal are provided by IOSCO members on a voluntary basis. The contents of the alerts and warnings
In our latest Global Regulation Tomorrow Plus podcast, Kevin Harnisch, Mark Highman, Katie Stephen and Hannah McAslan-Schaaf discuss the failure to prevent fraud offence under the UK’s Economic Crime and Corporate Transparency Act 2023, which comes into force on 1 September 2025, and how it might impact US firms.
Listen to the podcast here.
The FCA has published a Final Notice imposing a fine of £99,200 on a CFD provider for failing to make transaction reports over a 6 month period. We summarise below the key facts and potential impact for other firms who, in light of FCA expectations, may wish to consider proactively reviewing their own reporting and
On 11 November 2024, the Financial Conduct Authority (FCA) published a webpage setting out the outcome of its enforcement regulatory disclosure review. The review was carried out following a recommendation from the Upper Tribunal.
The FCA confirms that it has completed the review and made a number of changes to its disclosure processes
In our latest podcast, our global Financial Services team discusses promotional messages on social media platforms, covering recent regulatory and enforcement developments in the UK, US and Dubai, as well as practical steps that global firms can be taking now in this area to manage their risk.
Listen to the episode here.
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On 11 October 2024, the European Securities and Markets Authority (ESMA) issued its first consolidated report on sanctions imposed by Member State competent authorities in 2023.
In all 976 administrative sanctions and measures were taken by Member State competent authorities (NCAs).
The purpose of the report is to foster discussion among
Speak up and other internal investigations are on the rise (see our article here) amid increasing scrutiny from the media, public, authorities and other stakeholders of how investigations are conducted. Indeed, in higher profile matters the way in which an investigation is conducted can receive as much attention as the underlying issues.
The recent
On August 1, 2024, the US Department of Justice (DOJ) officially rolled out its Corporate Whistleblower Awards Pilot Program. The program is focused on financially incentivizing whistleblowers to report allegations of corporate crime.
Read our alert here.