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This week at the UK regulators - 17 February 2015

  • Clifford Chance LLP
  • -
  • China, United Kingdom
  • -
  • February 17 2015

The main enforcement developments last week were the first appearance of a former senior executive of a listed company in connection with charges of

International regulatory update - 2 - 6 February 2015

  • Clifford Chance LLP
  • -
  • European Union, Germany, Global, Hong Kong, India, Myanmar, Singapore, South Korea, United Kingdom
  • -
  • February 10 2015

International Regulatory Update 1 International Regulatory Update 2 - 6 February 2015 IN THIS WEEK'S NEWS Market Abuse Regulation: ESMA publishes

Financial litigation roundup - Autumn 2014

  • RPC
  • -
  • Hong Kong, Singapore, United Kingdom
  • -
  • December 3 2014

The High Court found that the defendants, Barclays and Tricorona, had misused the claimant, CF Partners’, confidential information and awarded

Financial services regulation - UK

  • DLA Piper LLP
  • -
  • United Kingdom
  • -
  • February 12 2015

Comments have closed for the PRA consultation paper on the implementation of bank ring-fencing due to come into effect on 1 January 2019. The PRA is

Market abuse update

  • Herbert Smith Freehills LLP
  • -
  • Australia, European Union, France, Hong Kong, United Kingdom, USA
  • -
  • December 15 2014

The FCA has continued to build on the strong track record of civil and criminal enforcement action against abusive conduct and manipulation, notably

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

Financial services regulation - Europe

  • DLA Piper LLP
  • -
  • European Union, United Kingdom
  • -
  • February 12 2015

In December 2014, the European Securities and Markets Authority (ESMA) published an opinion on investmentbased crowdfunding, along with issuing an

FSA bans and fines trader for unauthorized “pre-hedging”

  • Katten Muchin Rosenman LLP
  • -
  • United Kingdom
  • -
  • May 29 2009

The UK Financial Services Authority (FSA) announced on May 26 that it had banned and fined trader Nilesh Shroff for deliberately disadvantaging his customers on seven occasions between June and October 2007 by partially "pre-hedging" program trades without the clients’ consent

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

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