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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

City of London Corporation’s report on avoiding corruption risks in City businesses

Norton Rose LLP
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United Kingdom
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May 27 2010

Transparency International (TI) has published its report for the City of London Corporation focusing on corruption risks in financial services firms and the potential impact of the Bribery Act 2010 on the sector once it comes into force

Focus on insurance brokers: FSA final report on brokers’ anti-bribery and corruption controls

Norton Rose LLP
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United Kingdom
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May 24 2010

The FSA has published its final report on anti-bribery and corruption in commercial insurance broking which concludes that the approach of broker firms to higher risk business with third parties has been too informal, with many brokers failing to apply a risk-based approach to anti-bribery and corruption in practice

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 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 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

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