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UK regulator fines U.S. hedge fund and portfolio manager for market abuse: lessons to be learned

Chadbourne & Parke LLP
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United Kingdom, USA
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May 29 2012

The UK financial services regulator has made it clear that U.S. investors need to learn the rules of soccer when playing in the UK

The great fraud of China

Cobbetts LLP
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United Kingdom, USA
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May 18 2012

Near Xanadu did Chris Ruffle a stately pleasure dome decree, but for his fraud, a fine was brought “Success for the SEC!”

Fraud, bribery and corruption

Herbert Smith Freehills LLP
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United Kingdom, USA
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May 4 2012

David Green CB QC has started his role as the new Director of the SFO

Smith & Nephew PLC settlement illustrates pitfalls of ignoring red flags

Jenner & Block
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Greece, United Kingdom, USA
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April 30 2012

A London-based medical device company, Smith & Nephew PLC, has settled an FCPA matter with DOJ and SEC involving bribes to public sector doctors in Greece by U.S. and German subsidiaries of Smith & Nephew

The Greenlight lesson: potential pitfalls when wall-crossing investors - a UK and US perspective

Orrick Herrington & Sutcliffe LLP
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United Kingdom, USA
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March 5 2012

The U.K. Financial Services Authority (FSA) has recently issued a number of widely publicised notices that provide helpful signals as to how the FSA approaches the enforcement of insider dealing and market abuse violations

A tale of market abuse highlighting traps for the unwary

Gibson Dunn & Crutcher LLP
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United Kingdom, USA
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March 5 2012

The UK Financial Services Authority ("FSA") imposed fines of £3.651 million ($5.77 million) on Greenlight Capital Inc., a US hedge fund manager ("Greenlight"), £3.638 million ($5.74 million) on David Einhorn, Greenlight's owner, and £350,000 ($553,000) on Andrew Osborne, a former Bank of America Merrill Lynch banker

FSA’s fine of David Einhorn and Greenlight Capital for insider trading violation

Jones Day
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United Kingdom, USA
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March 1 2012

On January 12, 2012, the United Kingdom’s Financial Services Authority levied a fine on David Einhorn and his hedge fund, Greenlight Capital, Inc., in the total amount of £7,288,795 (approximately $11.6 million) in civil penalties for trading on inside information

Bribery laws: protecting your good name. Part I - corporate legal counsel

Fasken Martineau DuMoulin LLP
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Canada, United Kingdom, USA
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February 16 2012

As the corporate risk landscape changes, North American companies need to conduct a risk assessment and implement a top-down culture and compliance program against bribery and corruption

SEC brings case against Indiana manufacturer and eight executives and accountants for accounting fraud at English subsidiary

Porter Wright Morris & Arthur LLP
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United Kingdom, USA
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January 31 2012

On Monday, January 30, 2012, the SEC filed two lawsuits in federal court in Indiana and commenced two administrative proceedings stemming from an accounting fraud scheme at the Thornton Precision Components ("TPC"), which is the Sheffield, England subsidiary of Symmetry Medical Inc. ("Symmetry"), an Indiana-based manufacturer of medical devices and aerospace products

8th annual webcast briefing on challenges in compliance and corporate governance

Gibson Dunn & Crutcher LLP
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United Kingdom, USA
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January 10 2012

While compliance professionals struggle to balance the management of effective compliance programs with the reality of shrinking resources and budgets, the risks presented by government enforcement and private actions are higher than ever

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Search results

UK regulator fines U.S. hedge fund and portfolio manager for market abuse: lessons to be learned

The great fraud of China

Fraud, bribery and corruption

Smith & Nephew PLC settlement illustrates pitfalls of ignoring red flags

The Greenlight lesson: potential pitfalls when wall-crossing investors - a UK and US perspective

A tale of market abuse highlighting traps for the unwary

FSA’s fine of David Einhorn and Greenlight Capital for insider trading violation

Bribery laws: protecting your good name. Part I - corporate legal counsel

SEC brings case against Indiana manufacturer and eight executives and accountants for accounting fraud at English subsidiary

8th annual webcast briefing on challenges in compliance and corporate governance

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