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FSA enforcement
- Norton Rose LLP
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- United Kingdom
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- January 4 2010
The FSA has fined Toronto Dominion Bank (London Branch) £7m for systems and controls breaches in relation to the pricing of certain sophisticated and often illiquid derivative products by a proprietary trader
FSA enforcement
- Norton Rose LLP
- -
- United Kingdom
- -
- November 30 2009
Nomura International Plc ("Nomura") has been fined £1.75 million for breaches of Principles 2 and 3 of the FSA’s Principles for Businesses
Clearing and settlement in the Turner Review
- Norton Rose LLP
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- United Kingdom
- -
- March 30 2009
Many of the developments in clearing over the last month have been focused on the clearing of OTC derivatives
