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FSA enforcement
- Norton Rose LLP
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- United Kingdom
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- May 21 2010
The Financial Services and Markets Tribunal (the Tribunal) has upheld the FSA's refusal of a sole trader mortgage broker's application for Part IV permission on the grounds of repeated failure to file an RMAR
FSA imposes fines of £4.25m on Winterflood and two traders for market abuse following success in Court of Appeal
- Norton Rose LLP
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- United Kingdom
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- May 3 2010
The FSA has won its market abuse case in the Court of Appeal against Winterflood Securities Limited and two of its traders, Stephen Sotiriou and Jason Robins
FSA statement to the US bankruptcy court examiner on the collapse of Lehman Brothers Holding Inc
- Norton Rose LLP
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- United Kingdom, USA
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- March 22 2010
The FSA has published the statement that it has provided to the court appointed examiner of Lehman Brothers Holding Inc, which is referred to in his wider report on the collapse of Lehman Brothers published on 11 March 2010
Integrity: when honesty is not enough
- Norton Rose LLP
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- United Kingdom
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- February 8 2010
Integrity is a concept usually associated with honesty
Corporate broker intern and his father receive 12 and 24-month prison sentences respectively for insider dealing
- Norton Rose LLP
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- United Kingdom
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- February 1 2010
On 10 December 2009, the FSA issued a press release stating that former corporate broker intern, Matthew Uberoi and his father, Neel Uberoi, had been sentenced to 12 and 24-month prison sentences respectively for insider dealing
Unarranged overdraft charges
- Norton Rose LLP
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- United Kingdom
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- November 30 2009
The Supreme Court has delivered its judgment in the case of The Office of Fair Trading v Abbey National plc & Others 2009 UKSC 6
FSA statement following the Supreme Court ruling on bank charges
- Norton Rose LLP
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- United Kingdom
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- November 30 2009
Following the decision of the Supreme Court in Office of Fair Trading v Abbey National plc & Others 2009 UKSC 6, the FSA has released a statement to the effect that its waiver has now lapsed
BBA statement following Supreme Court ruling on bank charges
- Norton Rose LLP
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- United Kingdom
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- November 30 2009
The British Bankers’ Association (BBA) has released a statement in relation to the Supreme Court’s decision in the case of The Office of Fair Trading v Abbey National plc & Others 2009 UKSC 6
FSA wins case to ban former chief executive of Gen Re business unit
- Norton Rose LLP
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- United Kingdom
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- April 13 2009
The Tribunal has directed the FSA to prohibit the former CEO of a financial reinsurance business for his involvement in three reinsurance transactions between 1998 and 2001
Bankas Snoras decides not to open a branch in the UK and to withdraw its tribunal case
- Norton Rose LLP
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- Lithuania, United Kingdom
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- March 9 2009
On 28 December 2007, the FSA received notification from the Bank of Lithuania that Bankas Snoras, a bank authorised and regulated by it, intended to establish a branch in the United Kingdom
Current Search
- Firm Name - Norton Rose LLP
- Author - Jonathan Herbst
- Author - Charles Evans
- Author - Dorian Drew
- Workarea - Litigation