Back issues of Compliance & Risk Journal

 

This page sets out the subject matter of the main articles in each edition of Compliance & Risk journal to date. To search for a specific word/subject on this page, click Ctrl+F on the keyboard.

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November/December 2014
Volume 3, Issue 6

 

View Front Cover (PDF)

News Items

  • Fines in Forex investigation settlement top $4billion
  • Central Bank of Ireland imposes record fine on Ulster Bank
  • Serious misconduct at the Bank of England
  • UBS failings despite whistleblower reports
  • Further forex fall-out
  • FCA action may force payday lenders out of the market
  • US sanctions probe into Standard Chartered

 

Articles

  • The FCA’s Business Plan and Risk Outlook: What authorised firms can expect from the FCA over the coming year - Eimear O’Brien, Associate at
    Berwin Leighton Paisner LLP
  • Bank ring-fencing in the UK - Ash Saluja & Barney Hearnden, CMS Cameron McKenna LLP
  • Data sharing in group companies - Laura Scaife, Addleshaw Goddard LLP
 

September/October 2014
Volume 3, Issue 5

 

View Front Cover (PDF)

News Items

  • McDonald’s caught in crossfire as Russia wages compliance war
  • Financial regulators in the US look into dark pools
  • Top forex trader told to stay at home
  • New anti-trust boss for EU
  • Syndicate bank chief arrested for bribery
  • SRA compliance initiative on money-laundering
  • Dubai regulator restricts Espírito Santo Bank
  • Misconduct overseas may lead to disqualification as a UK director
  • Takeover Panel advocates stricter rules for promises made in takeover deals

 

Articles

  • TUPE Update: Easing the Burden on Employers - John Evason & Sara Kaltz, Baker & McKenzie LLP
  • Behavioural economics: a new basis for FCA intervention - Caroline Hobson, CMS Cameron McKenna LLP
  • Dawn Raid Ready Part 3: A Brief Reference Guide - Keith Read, LRN
 

July/August 2014
Volume 3, Issue 4

 

View Front Cover (PDF)

News Items

  • Competition regulator to investigate ‘big six’ energy groups
  • Barclays in regulatory hot water on both sides of the pond
  • Privacy concerns over Google Glass
  • SRA’s complaint-handling improves
  • BNP Paribas fined $9bn for sanctions violations
  • New consumer contract regulations
  • EU data protection reform progresses

 

Articles

  • Dawn raid ready Part 2: Response planning - Keith Read, LRN
  • Privilege in investigations: the challenges and misconceptions - Joanna Ludlam and Emily Tilden-Smith, Baker & McKenzie LLP
  • The EU single resolution mechanism for Eurozone banks - Ash Saluja, CMS Cameron McKenna LLP and Joachim Kaetzler, CMS Hasche Sigle (Germany)
  • Enterprise risk management - Nick Alford, Kingston Smith Consulting LLP
 

May/June 2014
Volume 3, Issue 3

 

View Front Cover (PDF)

News Items

  • EU declares a ‘right to be forgotten’ ahead of legislation
  • British GSK executive accused in China corruption probe
  • RBS to be sanctioned over IT meltdown
  • Singapore latest to join US FATCA
  • Regulator issues warning over ‘Heartbleed’
  • Lifting the corporate veil

 

Articles

  • Dawn raid ready Part 1: Reviewing the processes - Keith Read, International Compliance Expert
  • Reform of the UK competition law regime - the new merger regime - Caroline Hobson & Ruth Osborne, CMS Cameron McKenna LLP
  • Sentencing for environmental offences Part 2: The definitive guideline - Ailish Oxenforth, DLA Piper UK LLP
 

March/April 2014
Volume 3, Issue 2

 

View Front Cover (PDF)

News Items

  • Gold market comes under regulatory spotlight
  • EU Commission describes levels of corruption as “breathtaking”
  • Sun Pharmaceutical suffers US FDA import ban
  • DoJ investigation hits hedge fund group
  • ICO criticises Cabinet Office on FOI record
  • Morgan Stanley will pay $1.25bn to US regulator

 

Articles

  • Sentencing for environmental and health and safety offences Part 1: A move toward certainty? - Ailish Oxenforth, DLA Piper UK LLP
  • The risks of implementing ‘Bring Your Own Device’ in the work place - David Greenspan, McGuireWoods LLP (Virginia, US) & Andrea Ward, McGuireWoods London LLP
  • European Commission simplifies its procedures for reviewing mergers - Caroline Hobson & Christine Graham, CMS Cameron McKenna LLP
  • Loyaltybuild data breach: Lessons for data controllers - Annette Hogan, McCann FitzGerald
 
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