FCA News

FCA and PSR Boards appoint new members to decision-making committees

The Financial Conduct Authority (FCA) and Payment Systems Regulator (PSR) Boards have appointed new members to three decision-making committees: the FCA’s Competition Decisions Committee (CDC) and the PSR’s Competition Decisions Committee and Enforcement Decisions Committee (EDC). These three committees are responsible for taking certain competition law and regulatory decisions when a settlement cannot be reached. […]

FCA News

FCA bans Angela Burns from acting as a non-executive director and fines her for her failure to declare conflicts of interest

Angela Burns is an experienced UK investment professional and the chief executive of her own investment consultancy. From January 2009 until May 2011, Ms Burns was a NED at two mutual societies and served as the chair of their investment committees. Both mutual societies were seeking investment manager services and looked to Ms Burns for her […]

AMF News

Procédures permettant le signalement à l’AMF des violations de la réglementation par les lanceurs d’alerte

Résumé L’instruction DOC-2018-13 précise certaines modalités et procédures applicables aux alertes prévues par la directive d’exécution n° 596/2014 (« Lanceur d’alerte ») du règlement (UE) n° 596/2014 (« Abus de marché ») pour permettre aux personnes signalant de possibles violations dudit règlement à l’Autorité des marchés financiers de le faire le plus efficacement possible et en […]

SEC News

SEC Charges Former New York Investment Advisor and Daughter With Conducting a Ponzi Scheme

Washington D.C., Dec. 13, 2018 — The Securities and Exchange Commission today charged a former Rockland County, New York-based investment adviser and his daughter with conducting a multi-million dollar Ponzi scheme that defrauded local community members as well as members of their family and close friends. The SEC alleges that Hector May, an investment adviser representative and […]