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Results: 1-10 of 288

US class action: should trustees be doing anything?

  • Wragge & Co LLP
  • -
  • United Kingdom, USA
  • -
  • May 21 2007

Many UK pension schemes hold US equities either directly or indirectly (for example, in pooled funds

Equitas Ltd v Horace Holman & Co Ltd broker’s duty to keep proper records

  • Mills & Reeve LLP
  • -
  • United Kingdom
  • -
  • June 12 2007

This judgment on costs is of interest because of the guidance it gives as to what will be expected of a broker in providing information to a cedant so as to allow the cedant to collect unpaid balances

Court of Appeal signals cooperation with SEC to combat investment fraud

  • Edwards Wildman Palmer LLP
  • -
  • United Kingdom
  • -
  • February 3 2009

The English Court of Appeal has shown its readiness to cooperate with foreign regulators in this case, the US Securities and Exchange Commission by agreeing to freeze allegedly suspect assets

FSA seeks permission to appeal tribunal's decision on Fox Hayes

  • Norton Rose LLP
  • -
  • United Kingdom
  • -
  • April 21 2008

The FSA has applied for permission to appeal the Financial Services and Markets Tribunal decisions of 24 September 2007 and 6 March 2008, in relation to Fox Hayes, a firm of Leeds-based solicitors

Enforcing bad leaver provisions - Greck v. Henderson Asia Pacific Equity Partners

  • Freshfields Bruckhaus Deringer LLP
  • -
  • United Kingdom
  • -
  • January 28 2009

This Scottish case addresses the enforceability of so-called 'bad leaver' terms and indirect non-compete restrictions in the carry partnership of a private equity fund which affected an investment manager's right to retain his carry interests after he had resigned from his employment

Apparently infallible trader awarded loss of potential profits

  • Matheson
  • -
  • United Kingdom
  • -
  • June 2 2009

The Commercial Court of England and Wales recently handed down an important judgment allowing the owner of a investment fund to recover (a) his direct losses made as a result of making certain poor investments based on fraudulent misrepresentations made to him by a broker and (b) notably further significant damages for the loss of profits that he successfully argued he would have made had such poor investments not been made but the relevant funds instead invested elsewhere in the market in accordance with his usual (very successful to date) investment techniques

FSA secures over £1 million for victims of share scam

  • Norton Rose LLP
  • -
  • United Kingdom
  • -
  • February 16 2009

The FSA has obtained a court order requiring the owner and sole director of a UK company, Bayshore Nominees Limited to pay compensation to investors who were victims of a share scam operated by overseas entities

And finally

  • Squire Sanders
  • -
  • United Kingdom
  • -
  • August 15 2007

According to a recent ECJ preliminary ruling in the case of JP Morgan Fleming Claverhouse Investment Trust PLC v HMRC, an investment trust was classified as falling within the term “special investment fund” and consequently should be exempt from paying VAT on investment manager fees

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

Financial fraud: data transfer “necessary for reasons of substantial public interest”

  • McDermott Will & Emery
  • -
  • United Kingdom
  • -
  • June 1 2009

In the matter of Bernard L Madoff Investment Securities LLC 2009 EWHC 442 (Ch), Mr Justice Lewison granted an application for the transfer of personal data in the possession of the joint provisional liquidators of a UK subsidiary to the trustee in bankruptcy of its parent company in the US, Bernard L Madoff Investment Securities LLC

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