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Cross-border investigations update

  • Skadden Arps Slate Meagher & Flom LLP
  • -
  • China, United Kingdom, USA
  • -
  • October 14 2014

The inaugural edition of Cross-Border Investigations Update includes an overview of enforcement trends, including the increasing cooperation between U

Financial Regulatory Developments 17 October - Financial Conduct Authority (FCA)

  • Dentons
  • -
  • United Kingdom
  • -
  • October 17 2014

FCA has banned the managing and finance directors of Pritchard Stockbrokers Limited for client money failings. The firm was censured. FCA would have

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

  • Hogan Lovells
  • -
  • United Kingdom
  • -
  • 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

FCA fines Rabobank for LIBOR failings

  • Dentons
  • -
  • United Kingdom
  • -
  • November 1 2013

FCA has fined Coöperatieve Centrale Raiffeisen-Boerenleenbank B.A. (Rabobank) £105 million for serious, prolonged and widespread misconduct

Principal's right to recover a bribe paid to a fiduciary proprietary or personal?

  • Herbert Smith Freehills LLP
  • -
  • United Kingdom
  • -
  • May 23 2011

The Privy Council decision of Attorney-General for Hong Kong v Reid 1994 1 AC 324 has generally been taken to hold that a principal has a proprietary right to a bribe paid to a fiduciary

Tackling insider dealing, and achieving credible deterrence: FSA fines IT technician

  • Herbert Smith Freehills LLP
  • -
  • United Kingdom
  • -
  • July 7 2008

The FSA has fined John Shevlin, an IT technician, £85,000 for trading a contract for difference (CFD) referenced to the share price of the Body Shop International plc (the Body Shop) on the basis of inside information

Understanding forex manipulation

  • Collyer Bristow LLP
  • -
  • United Kingdom
  • -
  • April 14 2014

Following on the heels of the LIBOR manipulation scandal, the latest allegation levelled at the banks is that they conspired to manipulate foreign

FSA fines and bans manager for mismarking trading positions to hide losses

  • Katten Muchin Rosenman LLP
  • -
  • United Kingdom
  • -
  • May 1 2009

On April 29, the UK Financial Services Authority (FSA) published the Final Notice issued to Mr. Loic Montserret, a former manager with BlueCrest Capital Management Limited (BlueCrest

Anti-money laundering and anti-bribery systems and controls at asset management firms: FCA thematic review

  • Herbert Smith Freehills LLP
  • -
  • United Kingdom
  • -
  • December 1 2013

In October 2013, the Financial Conduct Authority (FCA) published the much-anticipated report of its thematic review into anti-money laundering (AML

Market abuse update

  • Herbert Smith Freehills LLP
  • -
  • United Kingdom
  • -
  • November 17 2011

Since our last update in April, there have been some significant milestones in the FSA's fight against market abuse