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Results: 1-10 of 37

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

FSA gets insider dealing conviction

  • Dentons
  • -
  • United Kingdom
  • -
  • April 3 2009

The Crown Court has found a solicitor and his father-in-law guilty of insider dealing after FSA brought criminal proceedings for the first time

Court denies client money protection for incorrectly held funds

  • Dentons
  • -
  • United Kingdom
  • -
  • April 17 2009

The court has held that clients of a broker whose money should have been in a segregated client account, but by mistake was not, could not have client money protection on the broker’s liquidation

On the horizon for 2013

  • Dentons
  • -
  • United Kingdom
  • -
  • January 17 2013

Our experts select the highlights likely to impact businesses in the UK generally, so you can check quickly

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

Tribunal backs market abuse finding

  • Dentons
  • -
  • United Kingdom
  • -
  • January 15 2010

The Financial Services and Markets Tribunal has agreed FSA’s finding that Robin Chhabra, a (now former) research analyst, and his friend Sameer Patel committed market abuse

FSA announces insider dealing conviction

  • Dentons
  • -
  • United Kingdom
  • -
  • March 12 2010

A Crown Court has found a former equities marketmaker guilty of insider dealing

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

The limits of a facility agent's role: what Torre Asset Funding v. RBS tells us

  • Dentons
  • -
  • United Kingdom
  • -
  • December 5 2013

In the recent case of Torre Asset Funding Ltd & anr v. The Royal Bank of Scotland plc the High Court looked at the duties of a facility agent

Tribunal backs market abuse fine

  • Dentons
  • -
  • United Kingdom
  • -
  • October 22 2010

The Financial Services and Markets Tribunal has decided it was appropriate for FSA to impose a financial penalty on Andre Jean Scerri