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Deferred Prosecutions: Now the UK Jumps on Board

Originally Published:

Monday, September 16, 2013

Deferred Prosecution Agreements are an increasingly significant mechanism in a number of jurisdictions and the UK seems set to become the next prime mover in this law enforcement space.

The Long Tail of the LIBOR Scandal: RBS Settlement Opens the Gate to Civil Penalties

Originally Published:

Friday, February 8, 2013

The Royal Bank of Scotland has settled regulatory actions relating to its role in the manipulation of LIBOR, however the civil cost of stacking the deck is, as yet, unknown.

CLMR Working Paper 12-3: Enforcing Compliance or Privileging Unaccountability? The Efficacy and Dangers of Deferred Prosecutions in the Corporate Sector

The difficulties associated with managing and surviving a hostile operating environment has weakened commitment to ethical operating standards.

Originally Published:

Saturday, September 1, 2012

Nomura Australia Limited Pays $30,000 infringement Notice Penalty

Nomura Australia Ltd has paid a penalty of $30,000 to ASIC in order to comply with an infringement notice given to it by the Markets Disciplinary Panel, for the entry of two orders to sell the security, Alumina Limited on 18 March 2011, that allegedly resulted in the market for AWC not being both fa

Originally Published:

Friday, March 30, 2012

New York Times Reports that SEC Is Avoiding Tough Sanctions For Large Banks

The New York Times reports that even as the Securities and Exchange Commission has stepped up its investigations of Wall Street in the last decade, the agency has repeatedly allowed the biggest firms to avoid punishments specifically meant to apply to fraud cases.

Originally Published:

Friday, February 3, 2012

Financial Services Authority Report on the Failure of the Royal Bank of Scotland

The Financial Services Authority has published its Board’s Report on “The Failure of the Royal Bank of Scotland” which describes the errors of judgement and execution made by Royal Bank of Scotland executive management which resulted in its failure.

Originally Published:

Monday, December 12, 2011

Evidence to the Treasury Select Committee on the Report by the Financial Services Authority into the Failure of the Royal Bank of Scotland

The House of Commons’ Treasury Select Committee has published a memorandum of advice by Bill Knight and Sir David Walker, as specialist advisers to the Treasury Select Committee, on the Financial Services Authority's report on the Failure of the Royal Bank of Scotland.

Originally Published:

Monday, December 12, 2011

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