Search results

Order by most recent / most popular / relevance

Results: 1-10 of 15

FSA fines for APER breaches and market abuse

Dentons
-
United Kingdom
-
July 13 2012

FSA has fined Jay Rutland, a former senior broker, £30,000 and banned him for breach of the Statements of Principle for Approved Persons (APER), for engaging in market abuse by making improper disclosure and encouraging others to deal in circumstances which would have amounted to insider dealing by Mr Rutland

FSA fines firm and compliance officer for client money breaches

Dentons
-
United Kingdom
-
May 4 2012

FSA has fined Christchurch Investment Management Limited (the firm) £26,000 and its former compliance officer David Thornberry £11,550 for breaches of its client money rules

FSA suspends CPP Group listing

Dentons
-
United Kingdom
-
February 24 2012

CPP Group PLC (CPP) announced the suspension of the listing of its shares, following discussions with FSA about its card protection and identity protection products

FSA gets 77,000 for Monobank victims

Dentons
-
United Kingdom
-
February 24 2012

FSA has obtained a court order against Monobank Plc (Monobank) which will allow around 77,000 of redress to be paid to victims of a boiler room scam

FSA acts against unauthorised deposit-taker

Dentons
-
United Kingdom
-
February 24 2012

FSA has obtained an interim injunction at the High Court against Stuart Carl Mudge and Anthony John Lewis relating to the Churchgate Trading Syndicate (Churchgate

FSA fines for improper market conduct

Dentons
-
United Kingdom
-
February 16 2012

FSA has fined Nicholas Kyprios, Head of European Credit Sales at Credit Suisse in London £210,000 for improper market conduct

FSA fines and bans for fraudulent scheme

Dentons
-
United Kingdom
-
February 3 2012

FSA has fined and banned the former chief executive officer of J.C. Flowers & Co (UK) Ltd

FSA fines for insider dealing

Dentons
-
United Kingdom
-
January 27 2012

FSA has fined David Einhorn, owner of US hedge fund Greenlight Capital Inc, and his fund £7.2 million for market abuse

SFO gets jail sentences for boiler room fraud

Dentons
-
United Kingdom
-
November 25 2011

SFO has announced the imprisonment of three men for involvement in a boiler room fraud based in Spain

Treasury publishes MAD sunset clauses note

Dentons
-
United Kingdom
-
November 4 2011

Treasury has published a note summarising its views on the "sunset" clauses in FSMA that deal with market abuse in a manner that is super-equivalent to the current Market Abuse Directive (MAD