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Results: 1-10 of 347

Deal or no deal: FOS recommends taking legal advice following Clark v In Focus

  • RPC
  • -
  • United Kingdom
  • -
  • March 13 2014

Reacting to the decision in Clark v In Focus, FOS has updated its technical notes to help guide complainants who might have previously sought to top

UK: FCA provisional decision to fine and ban former NED of financial firm for failing to disclose conflicts of interest

  • Herbert Smith Freehills LLP
  • -
  • United Kingdom
  • -
  • May 28 2013

The FCA has published a notice of its decision to fine a former non-executive director (NED) of two mutual societies £154,800, and to ban her from

Five jailed for investment fraud targeting expats

  • DMH Stallard LLP
  • -
  • United Kingdom
  • -
  • June 17 2010

Five men have been imprisoned for participating in a sophisticated investment scam which preyed on expatriate investors

Investment funds e-bulletin

  • Herbert Smith Freehills LLP
  • -
  • European Union, United Kingdom
  • -
  • July 3 2007

The ECJ has given its decision in the case of JP Morgan Fleming Claverhouse Investment Trust plc v Commissioners of HM Revenue and Customs (Case C-36305), a test case brought alongside the Association of Investment Trust Companies (now the Association of Investment Companies

Lehman client money: broad view of client money pool and client claims upheld in the Supreme Court

  • Dechert LLP
  • -
  • United Kingdom
  • -
  • April 4 2012

The Supreme Court on 29 February 2012 upheld the decision of the Court of Appeal on each of three appealed questions relating to the scope of the statutory trust over client money under the FSA’s Clients’ Assets sourcebook (“CASS”

Fox Hayes v FSA

  • Norton Rose Fulbright LLP
  • -
  • United Kingdom
  • -
  • October 15 2007

The Financial Services and Markets Tribunal has published its decision in the case of Fox Hayes v FSA

This week at the UK regulators - 18 June 2013

  • Clifford Chance LLP
  • -
  • European Union, United Kingdom
  • -
  • June 18 2013

Last week, the FCA continued to develop the flexible approach to penalty calculation regime now seen in a number of Cases under both the old and the

Enforcement of sovereign debt - a familiar but very different story

  • King & Wood Mallesons
  • -
  • Argentina, European Union, Greece, Hong Kong, United Kingdom
  • -
  • October 10 2011

If, as some fear, the current European sovereign debt crisis does come to a tragic conclusion then one of the many issues the resulting chaos may potentially throw-up is the ability of investors to enforce or attempt to enforce debt securities which have been issued by a defaulting sovereign state

Update on Lehman Brothers insolvency proceedings in the US, UK and Japan

  • Edwards Wildman Palmer LLP
  • -
  • Japan, United Kingdom, USA
  • -
  • October 7 2008

On September 20, 2008, the Bankruptcy Court approved the sale of certain assets of Lehman Brothers Holdings Inc. ("LBHI") and Lehman Brothers Inc. ("LBI"), including those related to its Canadian Capital Markets and Investment Banking businesses, to Barclays Capital, Inc. ("Barclays"

Financial institutions e-briefing: FSDR update: is investment advice to a fund manager exempt from VAT?

  • Eversheds LLP
  • -
  • Germany, United Kingdom
  • -
  • January 30 2013

The Advocate General has given his opinion that investment advice provided to an investment fund management company could be defined as ‘management’