Sentences with phrase «regulatory investigations concerning»

advising several global financial institutions in relation to regulatory investigations concerning their role as sponsors in initial public offerings

James has advised Magic Circle law firms in connection with a number of regulatory investigations concerning alleged breaches of conduct rules, conflicts of interest and confidential information.

regulatory investigations concerning potential breaches of competition law, including by the CMA and Ofgem

Represented a financial institution in a regulatory investigation concerning alleged theft of customer information

Not exact matches

Russia's use of the platform to meddle in U.S. elections, a regulatory investigation that could result in fines of hundreds of millions of dollars against the company for privacy violations, and the Cambridge Analytica episode are all topmost concerns.

Furthermore, Google is already burdened with many other risks, for instance: (1) increased competition from general purpose search engines and information services (page 7); (2) dependency on remaining competitive and providing value to advertisers (page 7); (3) being subject to increased regulatory scrutiny which may negatively impact business (page 8); (4) being «regularly subject to claims, suits, government investigations, and other proceedings that may result in adverse outcomes» (page 8); (5) «Privacy concerns relating to our technology could damage our reputation and deter current and potential users from using our products and services» (page 12); (6) «Web spam and content farms could decrease our search quality, which could damage our reputation and deter our current and potential users from using our products and services» (page 13); (7) «Internet access providers may be able to restrict, block, degrade, or charge for access to certain of our products and services, which could lead to additional expenses and the loss of users and advertisers» (page 16); (8) «New technologies could block online ads, which would harm our business» (page 16).

Any regulatory investigation could result in substantial legal and accounting expenses, divert management's attention from other business concerns and harm the Company's business.

The only real area of concern for us is the litigation and regulatory investigations into TRID's granting of stock options.

Mr Lehtman advises clients facing parallel investigations by both US and foreign authorities concerning financial reporting irregularities, potential violations of the Foreign Corrupt Practices Act, anti-money laundering regulations, and issues related to other legal and regulatory requirements.

I am also entirely satisfied that, in the words of Taylor LJ in [Balabel] the two types of ESG High Level Documents [i.e. tabular memoranda informing and updating the ESG on the progress, status and issues arising in the regulatory investigations and; confidential notes / summaries drafted by Clifford Chance concerning the discussions between the ESG and its legal advisers at the ESG meetings] form part of «a continuum of communication and meetings» between Clifford Chance and RBS, the object of which was the giving of legal advice as and when appropriate.

2 - 23.2 (1) A lawyer must not practise law in an MDP unless (a) the lawyer and all members of the MDP are in compliance with Rules 2 - 23.1 to 2 - 23.12 and the Professional Conduct Handbook, (b) all lawyers who are members of the MDP have obtained express permission under this Division to practise law in the MDP, (c) all non-lawyer members of the MDP are of good character and repute, (d) all members of the MDP agree in writing (i) that practising lawyers who are members of the MDP will have actual control over the delivery of legal services by the MDP, (ii) that non-lawyer members of the MDP will not interfere, directly or indirectly with the lawyer's (A) obligation to comply with the Act, these Rules and the Professional Conduct Handbook, and (B) exercise of independent professional judgement, (iii) to comply with the Act, these Rules and the Professional Conduct Handbook, and (iv) to cooperate with and assist the Society or its agents in the conduct of a practice review, examination or investigation, and (e) all members of the MDP who are governed by the regulatory body of another profession agree to report to the MDP any proceedings concerning their conduct or competence.

Emma Sutcliffe Qualified: 2005 Made partner: 2015 Key cases: Advising a leading investment bank on internal regulatory investigations and response to the FCA; acting for a global bank in litigation concerning commissions and payment protection insurance.

Investigations have concerned allegations of: securities, accounting, tax and other frauds; insider trading; corrupt payments; financial reporting and disclosure improprieties; noncompliance with professional and regulatory standards; environmental crimes; pretexting; anti-money laundering violations; and discriminatory conduct.

Bradford - based James Staton leads Schofield Sweeney's practice, and has niche expertise in advising landowners on investigations and prosecutions by regulatory authorities concerning endangered species, water pollution and waste management infringements.

Similar concerns about losing control over documents may arise where documents have been provided to regulatory or enforcement authorities during the course of an investigation.

acting for a leading global financial services on a highly confidential regulatory investigation in China concerning suspected corruption and misappropriation of state assets

assisting clients faced with regulatory investigations or prosecutions concerning sanctions and other regulatory breaches, including approaching authorities and negotiating settlements

Having managed global litigation portfolios as the head of litigation at Citigroup Inc. and The Hartford Financial Services Group, Inc., Liz is especially mindful of the institutional pressures and concerns, including cost, disclosure, and reputational and regulatory risk, that litigation and investigations pose for her clients, and the importance of close partnership with the in - house team.

Our Asia practice includes successful representations involving: (i) numerous companies of varying size, both publicly traded and privately held, in connection with FCPA - related internal investigations and government enforcement actions involving the DOJ, the SEC, and multiple foreign enforcement agencies, (ii) numerous publicly - traded companies» boards of directors, audit committees, and special committees of the board, with regard to the conduct of internal reviews of securities disclosure and accounting concerns and other compliance, enforcement or regulatory matters, and (iii) U.S. and Chinese companies in connection with private plaintiff and U.S. government antitrust litigation and investigations, including providing advice on dealing with Chinese government antitrust investigations and enforcement actions.

«The recent revelations regarding Facebook's actual practices with respect to user privacy and data security have severely damaged the Company's reputation and imposed significant costs on it, including regulatory investigations, lost business, exposure to litigation, and other damages,» the complaint runs, before going on to allege that Facebook sought to «downplay concerns about access to user information» and «continued to assure investors that Facebook maintained effective» internal controls and systems that automatically detected «suspicious activity»».