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Appeal tribunal confirms £8 million market manipulation fine
- Katten Muchin Rosenman LLP
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- United Kingdom
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- February 1 2013
On January 28, the Upper Tribunal (Tax and Chancery Chamber) upheld the decision of the Regulatory Decisions Committee (RDC) of the UK Financial
FSA imposes fine of £294,000 for AML breaches
- Katten Muchin Rosenman LLP
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- United Kingdom
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- August 3 2012
On August 2, the U.K. Financial Services Authority announced that it had fined Turkish Bank (UK) Ltd £294,000 (approximately $456,000) for breaches of the Money Laundering Regulations 2007
Changes to money laundering regulations announced
- Katten Muchin Rosenman LLP
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- United Kingdom
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- July 20 2012
In July 2012, HM Treasury announced proposed changes to the Money Laundering Regulations 2007 (SI 20072157) and published the government's response to its June 2011 consultation on the Regulations
FSA bans former hedge fund CEO Alberto Micalizzi and imposes £3 million fine
- Katten Muchin Rosenman LLP
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- USA
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- June 1 2012
On May 29, the UK Financial Services Authority (FSA) announced that it had decided to fine Alberto Micalizzi £3 million (approximately $4.6 million) and ban him from performing any role in regulated financial services for not being fit and proper
Appeal tribunal upholds FSA ban and fine on former investment bank advisers
- Katten Muchin Rosenman LLP
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- USA
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- May 25 2012
On May 21, the Upper Tribunal (Tax and Chancery Chamber) published related decisions upholding the Financial Services Authority's decision notices imposing fines and bans on both Sachin Karpe and Laila Karan
FSA fines Habib Bank and its Money Laundering Reporting Officer for AML control failings
- Katten Muchin Rosenman LLP
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- United Kingdom
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- May 18 2012
On May 15, the UK Financial Services Authority announced that it had fined Habib Bank AG Zurich £525,000 (approximately $830,000) and Syed Itrat Hussain its former Money Laundering Reporting Officer £17,500 (approximately $28,000) for failure to take reasonable care to establish and maintain adequate anti-money laundering systems and controls
FSA to target anti-bribery and corruption failures
- Katten Muchin Rosenman LLP
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- United Kingdom
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- April 13 2012
On March 29, the UK Financial Services Authority (FSA) published its findings following a thematic review of anti-bribery and corruption systems and controls in investment banks
FSA fines coutts £8.75m for AML control failings
- Katten Muchin Rosenman LLP
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- USA
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- March 30 2012
On March 26, the UK Financial Services Authority (FSA) announced that it had fined Coutts & Company £8.75 million (approximately $14 million) in relation to failures to take reasonable care to establish and maintain effective anti-money laundering (AML) systems and controls relating to high risk customers including politically exposed persons (PEPs
Former corporate broking managing director fined £350,000 for inside information disclosure
- Katten Muchin Rosenman LLP
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- United Kingdom
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- February 17 2012
On February 16, following on from the disciplinary actions against David Einhorn, Greenlight Capital, Alexander Ten-Holter and Caspar Agnew reported in the January 27, 2012 and February 3, 2012 editions of Corporate and Financial Weekly Digest, the UK Financial Services Authority (FSA) published a further final notice and announced that it had imposed a fine of £350,000 (approximately $550,000) on Andrew Osborne, a former Corporate Broking Managing Director of a major investment bank, for engaging in market abuse by improperly disclosing inside information ahead of a significant equity fundraising by Punch Taverns Plc (Punch) in June 2009
FSA fines compliance officer and trader in connection with market abuse case
- Katten Muchin Rosenman LLP
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- United Kingdom
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- February 3 2012
Following on from the disciplinary actions against David Einhorn and Greenlight Capital as reported in the January 27, 2012 edition of Corporate and Financial Weekly Digest, the UK Financial Servcies Authority (FSA) published final notices against two more individuals: Alexander Ten-Holter (a trader and former compliance officer at Greenlight Capital (UK) LLP) and Caspar Agnew (a trading desk director at JP Morgan Cazenove
Current Search
- Workarea - White Collar Crime
- Firm Name - Katten Muchin Rosenman LLP
- Author - Edward Black