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FCA Papers on Approaches to Regulation, Supervision and Enforcement

The U.K. Financial Conduct Authority (the “FCA”) has followed its 2017 papers on the principles and approaches it will apply to regulation, consumers, competition and authorization with two March 2018 papers on supervision and enforcement.  See Press Release, which sets forth links to the two papers, Approach to Supervision and Approach to Enforcement.  The FCA says that it plans to... Read more »

Supreme Court: Dodd-Frank Whistleblower Protections Apply Only to SEC Complaints

In Digital Realty Trust, Inc. v. Summers, the U.S. Supreme Court decided that the anti-retaliation provisions in Section 922 of the Dodd-Frank Act apply only to whistleblowing of violations of the securities laws to the Securities and Exchange Commission (the “SEC”) and not to internal whistleblowing to company personnel.  The SEC thus chose the narrower... Read more »

EU General Data Protection Regulation To Go Into Force

The EU General Data Protection Regulation (the “GDPR”) is scheduled to go into force on May 25, 2018.  The GDPR replaces existing data protection laws throughout the EU, and tightens the requirements that apply to businesses that collect and use personal data.  While a full understanding of the GDPR is beyond the scope of this... Read more »

New FCPA Enforcement Policy

On November 29, 2017, the U.S. Department of Justice (the “DOJ”) issued an update to its U.S. Attorney’s Manual to adopt a new Foreign Corrupt Practices Act (“FCPA”) Corporate Enforcement Policy (the “Policy”).  Under the Policy, credit will be given to certain self-reporting by companies (in the form of declination to prosecute or lower fines) or... Read more »

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