Corporate crime

24 February 2015

Senior Managers Regime: Tougher regulation of senior bankers and non-executive directors (NEDs) confirmed

The Financial Conduct Authority (FCA) and Prudential Regulation Authority (PRA) published a paper 24 February 2015 entitled “Approach to non-executive directors in banking and Solvency II firms & Application of the presumption of responsibility to Senior Managers in banking firms” (referred to here as “the New Consultation”). 

19 February 2015

Personal commitments: Benefits and risks of signing an attestation with the FCA

On 13 February 2015, the FCA launched a webpage providing information and data about the use of attestations.  The trend is that they are on the increase.  What are they, when should they be signed and who should sign them?

Louise Hodges

6 February 2015

Publicity Order and prison sentence in latest corporate manslaughter case

On 3 February 2015 Cumbrian building firm Peter Mawson Ltd became the latest company to be convicted of corporate manslaughter. The conviction followed the death of Jason Pennington who was killed in 2011 when he fell through a skylight onto concrete. The company, which pleaded guilty to the offence, was fined £220,000, as well as costs of £31,500.

Jonathan Grimes

7 August 2014

Professionals beware: your conduct outside of the office could be under regulatory scrutiny

If asked to answer truthfully, I am sure many professionals would, at some point, and to varying degrees, have acted in a way which was less than entirely honest.   For most, this would have been an isolated event, which has long been put out of their minds.  Few would have thought through the range of consequences of such an act; however, as a professional, acting dishonestly, or with a lack of integrity, could have wide-reaching consequences.  

Julie Matheson

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