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Results: 1-10 of 36

The not so remote risks of recommendations

  • Dentons
  • -
  • United Kingdom
  • -
  • September 20 2012

Those with an interest in the extent to which banks can be held liable for failed investments which they have sold will already be familiar with the case of Rubenstein v. HSBC Bank plc 2011 EWHC 2304 (QB), decided at first instance last year

Complaints Commissioner finds FSA maladministration not direct cause of losses

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

The Complaints Commissioner has found that, despite a serious administrative error by FSA, this was not the direct cause of a claimant’s loss

FSA confirms tribunal backing on hedge fund manager ban

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

FSA has confirmed the Upper Tribunal has ordered it to fine Michiel Weiger Visser £2 million and Oluwole Modupe Fagbulu £100,000 and ban them both from performing any role in regulated financial services for breaching Principle 1 of the FSA’s Statements of Principle for Approved Persons and for engaging in market abuse

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

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

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

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

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

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