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Clive Cunningham Herbert Smith Freehills LLP

Results 1 to 5 of 51



Steps firms can take to assess and enhance the legal and contractual aspects of CASS compliance following the FCA's record £126M CASS fine *

United Kingdom - April 20 2015
In the years since the Lehmann collapse there is no doubt that firms have been heavily focussed on CASS compliance, particularly on operational…

Co-authors: Karen Anderson, Sarah Thomas, Hywel Jenkins.


Market abuse update – April 2015 *

Australia, European Union, United Kingdom, USA - April 16 2015
2014 was marked by record fines for benchmarkmManipulation globally, criminal prosecutions for insider trading and market manipulation, and the first…

Co-authors: Jenny Stainsby, Andrew Procter, Karen Anderson, Carol Shutkever, Kimberly Everitt.


MiFID II: FCA and HM Treasury publish approach to UK implementation *

United Kingdom - April 2 2015
The FCA and HM Treasury have published the first set of papers on the UK implementation of MiFID II: FCA discussion paper "Developing our approach to…

Co-authors: Andrew Procter, Karen Anderson, Patricia Horton, Henrietta de Salis.


MiFID II: ESMA technical advice and consultation *

European Union - December 22 2014
The European Securities and Markets Authority (ESMA) published the following MiFID II Level 2 materials on Friday, 19 December: ESMA's final…

Co-authors: Andrew Procter, Karen Anderson.


MiFID II: ESMA technical advice and consultation *

European Union - December 19 2014
The European Securities and Markets Authority (ESMA) published the following MiFID II Level 2 materials on Friday, 19 December:…

Co-authors: Andrew Procter, Karen Anderson, Patricia Horton, Chris Haynes, Henrietta de Salis.


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