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Results: 1-10 of 31

Court backs firm on duties to clients

  • Dentons
  • -
  • United Kingdom
  • -
  • February 11 2011

The High Court has backed two regulated firms in a case brought by an individual and a trust of which he was trustee

High Court quashes FSA decision

  • Dentons
  • -
  • United Kingdom
  • -
  • June 1 2012

The High Court, in a hearing for judicial review, has quashed an FSA Decision Notice that fined an approved person for alleged breaches of Principle 6 of the FSA's Statements of Principle for Approved Persons

Government confirms DPA introduction

  • Dentons
  • -
  • United Kingdom
  • -
  • October 26 2012

The Government has confirmed it will introduce deferred prosecution agreements (DPAs) as a new tool in economic crime cases

More confusion on client money: the latest on Lehman

  • Dentons
  • -
  • United Kingdom
  • -
  • March 13 2012

The United Kingdom Supreme Court recently decided the appeal in the important case In the Matter of Lehman Brothers International (Europe) (LBIE) (In Administration) and In the matter of the Insolvency Act 1986 2012 UK (the Case

Tribunal upholds FSA decision to fine firm for market manipulation

  • Dentons
  • -
  • United Kingdom
  • -
  • February 1 2013

The Tribunal has upheld FSA's decision to levy an £8 million fine on Swift Trade for "layering". This is the highest fine ever for market

FSA wins appeal over financial promotions

  • Dentons
  • -
  • United Kingdom
  • -
  • February 20 2009

FSA has won an appeal against a solicitors' firm that approved promotions for unauthorised overseas companies that allowed them to sell shares worth around 21 million to 670 UK investors

Tribunal says FSA can publish decision under appeal

  • Dentons
  • -
  • United Kingdom
  • -
  • August 19 2011

The Upper Tribunal has ruled that there is no fundamental reason why FSA cannot publish its decision notice in the case of a company formerly known as SwiftTrade Inc and Peter Beck

FCA confirms SSR notification process

  • Dentons
  • -
  • United Kingdom
  • -
  • June 7 2013

FCA has published a note confirming how firms and investors should make notifications to it under the SSR. (Source: FCA Confirms SSR Notification

Is your client money protected? The implications of Global Trader

  • Dentons
  • -
  • United Kingdom
  • -
  • July 16 2009

The judgment in Global Trader Europe Limited delivered on 24 March 2009 will be of great interest to those firms who either hold "client money" or seek the protection of the client money regime

FSA announces insider dealing acquittal

  • Dentons
  • -
  • United Kingdom
  • -
  • June 11 2010

FSA has announced the acquittal of Andrew King and Michael McFall, against whom it had brought charges of insider dealing