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Results: 1-10 of 299

Norwich Union fined £1.26million for information security lapses: FSA focus on internal policies takes principles-based regulation to the next level

  • Herbert Smith Freehills LLP
  • -
  • United Kingdom
  • -
  • December 21 2007

By final notice dated 17 December 2007, the FSA has fined Norwich Union Life ("NUL") £1.26 million for systems and controls failures relating to information security, which placed their customers at risk of financial crime

Money laundering

  • Norton Rose Fulbright LLP
  • -
  • United Kingdom
  • -
  • March 12 2007

HM Treasury has published a paper entitled The financial challenge to crime and terrorism

UK chancellor names president of Financial Action Task Force

  • Katten Muchin Rosenman LLP
  • -
  • United Kingdom
  • -
  • April 6 2007

James Sassoon as the president of the Financial Action Task Force (FATF) for a 12-month period from July 2007 to June 2008

The importance of document retention

  • RPC
  • -
  • United Kingdom
  • -
  • March 27 2007

The Court of Appeal decision in R v Stubbs highlights the importance of a company having an adequate document retention system in place

FSA fines private bank for weak anti-fraud controls

  • Katten Muchin Rosenman LLP
  • -
  • United Kingdom
  • -
  • May 18 2007

The Financial Services Authority (FSA) announced on May 10 that it had fined BNP Paribas Private Bank £350,000 (approximately $690,000) for weaknesses in its anti-fraud systems and controls

A recent decision illustrates the importance of document retention for businesses

  • RPC
  • -
  • United Kingdom
  • -
  • May 23 2007

Mr Stubbs appealed against his conviction for conspiracy to defraud arising out of unauthorised transfers of £11.8m made whilst he worked as a password reset clerk on a bank's online banking system

FSA speech - Working together to tackle mortgage fraud

  • Norton Rose Fulbright LLP
  • -
  • United Kingdom
  • -
  • February 18 2008

The FSA has published a speech by Philip Robinson (Financial Crime & Intelligence Division Director, FSA) entitled Working together to tackle mortgage fraud

Independent trustees to register with HMRC from 1 April 2008

  • Norton Rose Fulbright LLP
  • -
  • United Kingdom
  • -
  • February 15 2008

From 1 April 2008, professional trustees, such as those statutorily appointed as an independent trustee of a pension scheme, will be under a duty to register with HM Revenue and Customs (HMRC) as a result of new money laundering regulations

The High Court considers the impact of breaches by a solicitor of money laundering regulations

  • RPC
  • -
  • United Kingdom
  • -
  • June 15 2007

In The Attorney General for and on behalf of the Republic of Zambia v Meer Care & Desai (a firm) and Others, the High Court ruled that it would have little sympathy for solicitors who failed to adhere to money laundering regulations if allegations of dishonesty were subsequently made against them

Consent to be reviewed

  • Wragge & Co LLP
  • -
  • United Kingdom
  • -
  • July 18 2007

The claimant offshore finance company operated solely over the internet offering services including transferring monies to and from other customer accounts it held and making transfers to external bank accounts

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