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Results: 1-10 of 23

Tribunal upholds FSA decision to fine firm for market manipulation

  • Dentons
  • -
  • United Kingdom
  • -
  • February 1 2013

The Tribunal has upheld FSA's decision to levy an £8 million fine on Swift Trade for "layering". This is the highest fine ever for market

ISDA welcomes Firth Rixson decision

  • Dentons
  • -
  • Global
  • -
  • April 13 2012

ISDA has welcomed the Court of Appeal’s judgment in the case Lomas and others v. JFB Firth Rixson, Inc and others, dealing with the interpretation of Section 2(a)(iii) of the ISDA Master Agreement

More confusion on client money: the latest on Lehman

  • Dentons
  • -
  • United Kingdom
  • -
  • March 13 2012

The United Kingdom Supreme Court recently decided the appeal in the important case In the Matter of Lehman Brothers International (Europe) (LBIE) (In Administration) and In the matter of the Insolvency Act 1986 2012 UK (the Case

Court upholds “by way of business” judgment

  • Dentons
  • -
  • United Kingdom
  • -
  • June 22 2012

The Court of Appeal has upheld a Crown Court decision on whether infrequent deposits would be deemed accepted “by way of business”

Tribunal backs CEO over misconduct fine

  • Dentons
  • -
  • United Kingdom
  • -
  • April 27 2012

John Pottage, formerly holder of both the CF3 and CF8 controlled functions for UBS AG and for UBS Wealth Management (UK) appealed to the Tribunal about FSA’s decision to fine him for breach of the Principles for Approved Persons

Court refuses judicial review

  • Dentons
  • -
  • United Kingdom
  • -
  • June 26 2009

The Court of Appeal has refused permission to appeal a decision that refused an appeal for judicial review

Is your client money protected? The implications of Global Trader

  • Dentons
  • -
  • United Kingdom
  • -
  • July 16 2009

The judgment in Global Trader Europe Limited delivered on 24 March 2009 will be of great interest to those firms who either hold "client money" or seek the protection of the client money regime

Treasury speaks on Europe

  • Dentons
  • -
  • United Kingdom
  • -
  • November 26 2010

Mark Hoban spoke on the European and international agenda

Bank wins misclassification case

  • Dentons
  • -
  • United Kingdom
  • -
  • April 1 2011

An individual client (Ms Wachner) alleged Bank Leumi (UK) (BLUK) had misclassified her as an intermediate customer (under the FSA's Conduct of Business Rules that applied at the time) in relation to certain foreign exchange options and had made misrepresentations and given her negligent advice

FSA gets judgment in illegal land bank case

  • Dentons
  • -
  • United Kingdom
  • -
  • July 1 2011

FSA has secured summary judgment against Stephen Watkins for selling land illegally to UK consumers

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