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Results: 1-9 of 9

Treasury publishes emissions auction platform Regulations

  • Dentons
  • -
  • United Kingdom
  • -
  • November 18 2011

The Recognised Auction Platforms Regulations 2011 come into force partly on 12 December 2011 and mainly on 18 June 2012

Commission presents MAD revisions

  • Dentons
  • -
  • European Union
  • -
  • October 21 2011

The Commission has published its proposals for revising the Market Abuse Directive (MAD

FSA fines and bans over misconduct

  • Dentons
  • -
  • United Kingdom
  • -
  • February 3 2012

FSA has fined a trader and former compliance officer £130,000 for failing to make reasonable enquiries before selling his firm's shareholding in Punch Taverns

FSA gets injunction against market manipulation

  • Dentons
  • -
  • United Kingdom
  • -
  • September 9 2011

FSA has obtained a High Court injunction to prevent a number of manipulative “layering” activities it believes several companies and individuals were involved in between August 2010 and July 2011

FSA fines overseas company £8 million for market abuse

  • Dentons
  • -
  • United Kingdom
  • -
  • September 9 2011

FSA has decided to fine Swift Trade, a Canadian company not authorised by FSA, £8 million

FSA brings insider dealing charges

  • Dentons
  • -
  • United Kingdom
  • -
  • August 12 2011

FSA has charged Thomas Ammann, an investment banker, with three counts of insider dealing, Christina Weckwerth, who lives in Germany, with two counts of insider dealing, and Jessica Mang with one count of insider dealing

FSA gets High Court injunction against market abuse

  • Dentons
  • -
  • United Kingdom
  • -
  • May 27 2011

FSA has fined Samuel Kahn over £1 million and, for the first time, obtained a court order restraining an individual from committing market abuse

Tribunal finds censure appropriate in market abuse case

  • Dentons
  • -
  • United Kingdom
  • -
  • September 9 2011

The Tribunal has found in favour of Jason Geddis, who FSA had fined for market abuse

FSA fines overseas investor for market abuse

  • Dentons
  • -
  • United Kingdom
  • -
  • November 11 2011

FSA has fined a Dubai-based investor US$9.6 million for market abuse