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FSA wins appeal over financial promotions

Dentons
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United Kingdom
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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

Is your client money protected? The implications of Global Trader

Dentons
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United Kingdom
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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 gets insider dealing conviction

Dentons
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United Kingdom
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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

FSA announces insider dealing conviction

Dentons
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United Kingdom
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March 12 2010

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

Court denies client money protection for incorrectly held funds

Dentons
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United Kingdom
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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

Tribunal backs market abuse finding

Dentons
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United Kingdom
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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