Writing

Regulation Generally

If you would like to obtain any of the following publications please contact Adam.

For a complete list of all articles on Regulation Generally please download the pdf

“A trip to court”, Compliance Monitor, 10 May 2017

“The FCA's miss(ion) mash”, Compliance Monitor, 6 December 2016

“What have the Europeans ever done for us? (Plenty) ”, Compliance Monitor, 5 July 2016

“A flurry of February enforcement decisions ”, Compliance Monitor, 1 March 2016

“The compliant management of chaos”, Compliance Monitor, 3 October 2016

“What have the Europeans ever done for us? (Plenty)”, Compliance Monitor, 1 March 2016

“A flurry of February enforcement decisions”, Compliance Monitor, 5 July 2016

“Competition Act voluntary redress scheme - draft guidance: something of rather greater importance than it appears”, Compliance Resource Network, 17 February 2016

“The FCA finally manages to defend successfully a banker's attempt to obtain third party rights from the Upper Tribunal”, Compliance Resource Network, 11 February 2016

“Moving retreads around”, Financial Adviser, 3 February 2016

“The Supreme Court's definition of a collective investment scheme - just what the FCA wanted”, Compliance Resource Network, 27 April 2016

“A flurry of February enforcement decisions”, Compliance Monitor, 1 March 2016

“Competition Act voluntary redress schemes - draft guidance: something of rather greater importance than it appears” Compliance Resource Network, 17 February 2016

“The FCA finally manages to defend a banker's attmpt to obtain third party rights from the Upper Tribunal” Compliance Resource Network, 11 February 2016

“Moving retreads around”, Financial Adviser, 3 February 2016

“A tale of ducking and dithering: the Green Report on HBOS”, Compliance Monitor, 25 January 2016

“ HBOS the PRA report analysed”, Compliance Resource Network, 1 December 2015

“ Bitter - the Upper Tribunal identifying third parties in Decision Notices”, Compliance Resource Network, 24 November 2015

“The Upper Tribunal orders the FCA to pay Ł100,000 in costs for making a corruption allegation without cogent evidence in the Burns case”, Compliance Resource Network, 13 November 2015

“Takeover Panel issues sharp reminder after Bumi debacle”, Complinet, 10 November 2015

“A year of trials”, Compliance Monitor, 1 October 2015

“A word to Mark Steward”, Compliance Monitor, 27 August 2015

“As the gunsmoke clears…”, Financial Adviser, 30 July 2015

“The Macris Court of Appeal decision re-defines Third Parties entitled to challenge FCA Decision Notices and gives the FCA nightmares”, Compliance Resource Network, 17 June 2015

“Julien Grout fails to stop termination of FCA's ”,”, Compliance Monitor, 22 January 2015

“From Principles to penalties”, Compliance Monitor, 2 December 2014

“The FCA's market-shaking communications bungle”, Compliance Monitor, 22 January 2015

“From Principles to penalties", Compliance Monitor, 2 December 2014

“Compliance tip of the week: Don't play the blame game”, Money Marketing, 2 October 2014

“Compliance tip of the week: The following arguments fall apart when lobbying for compliance change", Money Marketing, 21 August 2014

“The Financial Conduct Authority’s Annual Report analysed", Compliance Resource Network, 29 July 2014

“Compliance tip: They have the statutory powers you don't" , Money Marketing, 26 June 2014

“Learn to speak FCA supervision - a review of the FCA's approach to supervision for C1-C4 firms”, Compliance Resource Network, 6 June 2014

“Who’s afraid of SYSC?”, Compliance Monitor, 4 July 2014

“Compliance tip: They have the statutory powers – you don’t”, Money Marketing, 26 June 2014

“Learn to speak “FCA-supervision”– a review of the FCA’s approach to supervision for C1-C4 firms”, Compliance Resource Network, 6 June 2014

"Socialism and the City", Compliance Monitor, February 2014

"The Global Compliance Compass", Compliance Monitor, October 2013

“The Global compliance compass”, Compliance Monitor, October 2013

“A year in the courts”, Compliance Monitor, September 2013

“Two kings to rule them all”, Compliance Monitor, April 2013

“The Supreme Court defining regulated general insurance against the background of the EU Directives and IMD2”, Compliance Resource Network, 1 March 2013

“CP 12/34 and how the Financial Conduct Authority is going to supervise firms”, Compliance Resource Network, 13 December 2012

“Tools of Deterrence”, Compliance Monitor, November 2012
Training

 “CP 12/28 The FSA consults on fees for the FCA and PRA- some analysis”, Compliance Resource Network, 6 November 2012

"Journey to the Centre of the FCA”, Compliance Resource Network, 25 October 2012

 “Looking at CP 12/24 and the effect of regulatory reform on the authorisation and supervision regimes”, Compliance Resource Network, 17 September  2012   

“Competitors pay for those who stray CP 12/16”, Compliance Monitor, September 2012

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