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Market abuse update

Herbert Smith Freehills LLP
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United Kingdom
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November 17 2011

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

FSA’s Enforcement and crime Division continues to deliver on its promises

RPC
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United Kingdom
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April 7 2011

'Credible deterrence' remained the FSA's enforcement buzz words in 2010

Key role of senior management in the two largest ever FSA anti-bribery fines

Reed Smith LLP
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United Kingdom
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February 29 2012

The UK Bribery Act 2010 has increased the focus placed on anti-bribery and anti-corruption not only by the Serious Fraud Office but also by the Financial Services Authority

Directors' and officers' insurance policies should be reviewed in light of anticipated increase in whistleblowing activity instigated by the Dodd-Frank Act and the UK Bribery Act

Squire Sanders
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United Kingdom, USA
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January 5 2011

The Dodd-Frank Act contains a number of controversial provisions, but perhaps none more so than mandatory payment of a substantial bounty to individuals who provide "original information" to the Securities and Exchange Commission (SEC) leading to fines in excess of US$1 million

Updated Financial Services Authority (“FSA”) financial crime guide

Pannone LLP
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United Kingdom
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November 2 2012

The FSA has four statutory objectives as set out in the Financial Services and Markets Act 2000:

FSA criminal prosecutions

RPC
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United Kingdom
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December 9 2009

While there is a focus on the nature of future financial services regulation, the FSA’s Enforcement Division continues to assiduously pursue enforcement cases

Madoff and Stanford: new ways of resolving the same old issues

RPC
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United Kingdom, USA
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February 3 2010

The arrests of Bernard Madoff and Allen Stanford in December 2008 and June 2009 respectively, and the resulting litigation and investigations, have prompted a raft of notifications to D&O, PI and FidelityBBB policies since late 2008