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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)
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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
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September/October 2014
Volume 3, Issue 5
View Front Cover (PDF)
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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
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July/August 2014
Volume 3, Issue 4
View Front Cover (PDF)
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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
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May/June 2014
Volume 3, Issue 3
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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
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March/April 2014
Volume 3, Issue 2
View Front Cover (PDF)
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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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