By Tom Fox2017-04-11T08:30:00
Barclays CEO James Staley is claiming ignorance, saying he didn’t know it was inappropriate to attempt to unmask the identity of an anonymous corporate whistleblower and is now facing the consequences.
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2018-01-17T10:00:00Z By Paul Hodgson
In the wake of Brexit, the United Kingdom is putting together its own sanctions regulations, but there is a lot of work yet to be done and many questions yet to be answered.
2026-03-26T18:01:00Z By Jaclyn Jaeger
The former U.S. chief compliance officer of London-based hedge fund Capula Investment Management, who alleged he was fired for escalating “significant regulatory compliance issues” to senior management, refiled his lawsuit in state court after his original complaint was dismissed in federal court on jurisdictional grounds.
2026-03-05T20:35:00Z By Neil Hodge
More complaints about compliance are reported to the U.K.’s financial services watchdog than any other kind of potential misconduct, and even if few of them result in investigation or censure, experts believe such reports help inform future supervision and enforcement.
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