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FSA enforcement director speaks on prosecutorial approach
- Katten Muchin Rosenman LLP
- -
- USA
- -
- September 18 2009
On September 14, the UK Financial Services Authority (FSA) published the text of a speech by Margaret Cole, FSA Director of Enforcement, about the FSA’s strategy and approach to fighting fraud
FSA fines firm for failure to prevent employee fraud
- Katten Muchin Rosenman LLP
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- United Kingdom
- -
- October 16 2009
On October 8, the UK Financial Services Authority (FSA) announced that it had fined Seymour Pierce Limited, a stockbroker, £154,000 ($250,000) for a breach of FSA Principle 3 by failing to take reasonable care to organize and control its affairs responsibly and effectively with adequate risk management systems, by failing to establish effective measures to prevent employee fraud in its settlement department
Guilty verdict obtained in first FSA criminal insider dealing case
- Katten Muchin Rosenman LLP
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- United Kingdom
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- March 27 2009
On March 27, a lawyer and his father-in-law were found guilty of insider dealing in the first insider dealing criminal prosecution brought by the Financial Services Authority (FSA
FSA campaign against insider dealing continues
- Katten Muchin Rosenman LLP
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- United Kingdom
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- April 3 2009
On March 31, the UK Financial Services Authority (FSA) announced that it arrested a "senior corporate finance adviser" and another individual in connection with an ongoing investigation into suspected organized insider dealing
JMLSG publishes revised Money Laundering Guidance
- Katten Muchin Rosenman LLP
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- United Kingdom
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- December 11 2009
On December 3, the UK Joint Money Laundering Steering Group (JMLSG) published its revised Money Laundering Guidance for the Financial Sector
UK government publishes supplementary market abuse regulations
- Katten Muchin Rosenman LLP
- -
- USA
- -
- December 4 2009
On December 1, the UK Government published additional regulations relating to some of the market abuse provisions of the Financial Services and Markets Act 2000 (FSMA
Retired senior trader jailed for insider dealing
- Katten Muchin Rosenman LLP
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- United Kingdom
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- March 12 2010
On March 11, Malcolm Calvert was sentenced to 21 months in prison, having been found guilty on five counts of insider dealing the previous day
FSA imposes ban and highest-ever fine on individual
- Katten Muchin Rosenman LLP
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- United Kingdom
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- May 28 2010
On May 20, the UK Financial Services Authority (FSA) announced that it had fined Simon Eagle £2.8 million (approximately $4 million) and prohibited him from working in financial services as a result of the deliberate market abuse scheme he had carried out in 2003-2004
FSA bans former broker employee for fraud
- Katten Muchin Rosenman LLP
- -
- United Kingdom
- -
- May 28 2010
On May 25, the UK Financial Services Authority (FSA) announced that it had prohibited John White, a former employee of Seymour Pierce Limited, from working in financial services for committing fraud
FSMT decides that research analyst and spread better friend committed market abuse
- Katten Muchin Rosenman LLP
- -
- USA
- -
- January 15 2010
On January 11, the UK Financial Services Authority (FSA) announced that a former research analyst and his friend have been found to have committed market abuse by using inside information to carry out a series of profitable spread bets
Current Search
- Workarea - White Collar Crime
- Firm Name - Katten Muchin Rosenman LLP
- Author - Martin Cornish