Scarcely a day went by in the Investigations Team I ran when we did not receive a request for information about a client’s affairs, trading or other matters from regulators, in the UK and overseas, occasionally the police and sometimes other authorities. And just as regularly we found ourselves informing those authorities that we could… Read more »
Sexual harassment: Boorish behaviour, unwanted by the target. Not to be confused with flirtation or courtship. Often perpetrated by people who have not recently looked in a mirror or who have forgotten their age or marital status. Code of Conduct: Having some manners. Banter: Amusing social interaction between friends and/or colleagues. Not to be confused with bad or… Read more »
Really enjoyed doing this talk and participating in the panel session with Patrick Spens, Alex Viall and Rob Mason. Interesting thoughts from Patrick Spens on the future of regulation, current governmental approaches and compliance risks firms should be aware of – sanctions, for instance. And I said more than just what is reported below, of… Read more »