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This week at the UK regulators - 13 May 2013

Clifford Chance LLP
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United Kingdom
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May 13 2013

Last week was quieter at the UK regulators than some previous weeks. The only announcement to be made was an update from the FCA on the timetable for

This week at the UK regulators - 7 May 2013

Clifford Chance LLP
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United Kingdom
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May 7 2013

The FCA has remained active on all fronts during the past week. It has charged more individuals in connection with criminal investigations into

Deferred prosecution agreements: a powerful new tool for UK prosecutors?

Dechert LLP
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United Kingdom
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May 3 2013

The Crime and Courts Bill which received Royal Assent on 25 April 2013 has introduced a new enforcement tool in the UK for fraud, bribery and money

FSA enforcement decision introduces major increase in fines for breaches of the Listing Rules

Debevoise & Plimpton LLP
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United Kingdom
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April 17 2013

"Listed companies should have no doubt about the importance the FSA places on them meeting their obligations in order to protect investors interests

IG Markets case provides useful analysis of the principles of dishonest assistance

CMS Cameron McKenna
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United Kingdom
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April 5 2013

In a recent decision, the Commercial Court dismissed a claim for dishonest assistance against IG (a major financial broker and provider of CFD

The FCA a more aggressive enforcer of financial crime?

Corker Binning
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United Kingdom
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April 2 2013

On 1 April the Financial Services Authority (FSA) was abolished and replaced with three new organisations which will now share responsibility for the

Enforcement update

Arnold & Porter LLP
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United Kingdom
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March 26 2013

The most significant development at the end of 2012 and the first quarter of 2013 has been the developing international criminal and regulatory

Former futures trader at JP Morgan Cazenove is sentenced to 4 years imprisonment for insider dealing

Orrick Herrington & Sutcliffe LLP
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United Kingdom
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March 18 2013

Following a prosecution brought by the FSA, Richard Joseph was found guilty at Southwark Crown Court of six counts of conspiracy to deal as an

FSA gets conviction of two insider dealers

Dentons
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United Kingdom
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March 15 2013

In two different cases, the Southwark Crown Court has endorsed the claims brought by FSA against two traders for insider dealing. (Source: Equities

FSA continues to pursue investigations and prosecutions for insider dealing

Winston & Strawn LLP
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United Kingdom
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March 14 2013

On 27 February 2013, three individuals were arrested in connection with an FSA investigation into insider dealing and market abuse. The arrests are

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This week at the UK regulators - 13 May 2013

This week at the UK regulators - 7 May 2013

Deferred prosecution agreements: a powerful new tool for UK prosecutors?

FSA enforcement decision introduces major increase in fines for breaches of the Listing Rules

IG Markets case provides useful analysis of the principles of dishonest assistance

The FCA a more aggressive enforcer of financial crime?

Enforcement update

Former futures trader at JP Morgan Cazenove is sentenced to 4 years imprisonment for insider dealing

FSA gets conviction of two insider dealers

FSA continues to pursue investigations and prosecutions for insider dealing

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