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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

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

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

Fifth man charged in FSA’s largest insider dealing case

Pannone LLP
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United Kingdom
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January 3 2013

Back in October 2012, the FSA charged Martyn Dodgson, Andrew Hind, Benjamin Anderson and Iraj Parvizi with conspiracy to insider deal between 1st November

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

Who 'owns' a bribe - the recipient or victim?

Herbert Smith Freehills LLP
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United Kingdom
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March 29 2011

The Court of Appeal has given judgment in Sinclair Investments (UK) Limited v Versailles Trading Finance Limited & Others (2011 EWCA Civ 347), firmly dismissing the appeal - and the defendants' cross appeal - from the judgment of Mr Justice Lewison of 30 June 2011

Wall-crossing in Hong Kong: risk management issues

Morrison & Foerster LLP
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Hong Kong, United Kingdom
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June 6 2012

In the UK, there has recently been significant media coverage of market abuse in the context of “wall-crossing”, the process by which a securities offering is selectively pre-marketed to potential investors before the deal is publicly announced

Trends in FCPA and international anti-corruption enforcement

Jones Day
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Global, United Kingdom, USA
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April 27 2011

Enforcement of the Foreign Corrupt Practices Act (FCPA) reached unprecedented levels in 2010, as the Department of Justice (DOJ) and the Securities and Exchange Commission (SEC) levied double the financial penalties imposed in 2009

Wall crossings and insider dealing Financial Services Authority levies the second highest ever fine against Greenlight Capital hedge fund trader David Einhorn

Hogan Lovells
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United Kingdom
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February 1 2012

On 12 January 2012, the Financial Services Authority ("FSA") levied its second highest ever fine of £3,638,000 against US hedge fund trader David Einhorn and a fine of £3,650,795 against Greenlight Capital Inc for market abuse

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Search results

This week at the UK regulators - 7 May 2013

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

This week at the UK regulators - 13 May 2013

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

Fifth man charged in FSA’s largest insider dealing case

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

Who 'owns' a bribe - the recipient or victim?

Wall-crossing in Hong Kong: risk management issues

Trends in FCPA and international anti-corruption enforcement

Wall crossings and insider dealing Financial Services Authority levies the second highest ever fine against Greenlight Capital hedge fund trader David Einhorn

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