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The small firms financial crime review

Norton Rose LLP
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United Kingdom
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May 31 2010

In April 2008, the FSA launched a major thematic project which was aimed at establishing the extent to which small firms across the financial services industry addressed financial crime risks in their businesses

Avoiding corruption risks in the city: the Bribery Act 2010

Norton Rose LLP
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United Kingdom
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May 31 2010

The City of London Corporation has published a report prepared by Transparency International which is entitled Avoiding Corruption Risks in the City: The Bribery Act 2010

One arrested in FSA and CoLP insider dealing investigation

Norton Rose LLP
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United Kingdom
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May 21 2010

The FSA has issued a press notice stating that investigators from its Enforcement and Financial Crime Division acting with the assistance of the City of London Police (CoLP) have conducted a search operation at a residential address in East London

FSA warning regarding boiler room share fraudsters

Norton Rose LLP
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United Kingdom
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May 21 2010

The FSA has issued a press notice stating that it is contacting more than 38,000 people across the UK to warn them that they could be the target of share fraud after it recovered a master list used by boiler room fraudsters

Anti-bribery and corruption in commercial insurance broking

Norton Rose LLP
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United Kingdom
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May 21 2010

The FSA has published a report which describes how commercial insurance broker firms in the UK are addressing the risks of becoming involved in corrupt practices such as bribery

JMLSG publishes proposed Part III to the JMLSG Guidance

Norton Rose LLP
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United Kingdom
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May 18 2010

In August 2009, the Board of the Joint Money Laundering Steering Group (JMLSG) indicated that it was contemplating an additional Part III to the JMLSG Guidance

FSA charges ex-hedge fund trader

Norton Rose LLP
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United Kingdom
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May 3 2010

The FSA has charged Anjam Ahmad, an ex-hedge fund trader, with one count of conspiracy to commit insider dealing contrary to section 1 of the Criminal Law Act 1977

OFT announces criminal charges against North London credit company

Norton Rose LLP
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United Kingdom
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May 3 2010

The Office of Fair Trading (OFT) has brought charges against London North Securities Limited and its director Harvey Collis, accusing them of carrying on a consumer credit business without a licence

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 commences criminal proceedings against third individual for insider dealing

Norton Rose LLP
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United Kingdom
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April 5 2010

The FSA has confirmed that it has commenced criminal proceedings against Helmy Omar Sa'aid for the offences of insider dealing (under s.52(1) of the Criminal Justice Act 1993) and conspiracy to commit insider dealing (under s.1(1) of the Criminal Law Act 1977) relating to trading in a number of different London Stock Exchange and AIM listed shares between 2000 and 2009