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FSA publishes views on rogue trader risk

  • Katten Muchin Rosenman LLP
  • -
  • United Kingdom
  • -
  • March 14 2008

On March 11, the UK Financial Services Authority (FSA) published Market Watch 25, which highlights measures UK authorized firms should consider to protect themselves against “rogue trader” risk

JMLSG consults on changes to anti-money laundering guidance

  • Katten Muchin Rosenman LLP
  • -
  • United Kingdom
  • -
  • July 13 2007

On June 29, the Joint Money Laundering Steering Group (JMLSG) announced that it is consulting on proposed amendments to its risk-based anti-money laundering guidance to reflect the UK Money Laundering Regulations 2007

FSA takes bankruptcy proceedings against UK lawyer

  • Katten Muchin Rosenman LLP
  • -
  • United Kingdom
  • -
  • March 30 2007

In proceedings commenced by the Financial Services Authority (FSA), the UK High Court ruled in December 2004 that Adrian Sam & Co (ASC) and John Martin, one of ASC’s two partners, were knowingly involved in the UK activities of an illegal overseas investment firm (a boiler room) and they were ordered to pay £360,000 (approximately $700,000) to 63 investors involved in the boiler room scam

FSA commences several criminal prosecutions for insider dealing

  • Katten Muchin Rosenman LLP
  • -
  • United Kingdom
  • -
  • August 1 2008

On July 24, Malcolm Calvert, a former partner at a major London stockbroker, was charged with 12 separate offenses of insider dealing in breach of Section 52 of the Criminal Justice Act 1993

UK FSA bans and fines broker for dishonesty and misleading customers

  • Katten Muchin Rosenman LLP
  • -
  • United Kingdom
  • -
  • February 15 2008

On February 11, the UK Financial Services Authority (FSA) imposed a Prohibition Order on Mohammed Suba Miah, a former broker at Square Mile Securities Limited, and fined him £21,000 (US$ 41,000

FSA announces financial crime and intelligence division

  • Katten Muchin Rosenman LLP
  • -
  • United Kingdom
  • -
  • January 26 2007

The Financial Services Authority (FSA) announced on January 22 that it had established a new Financial Crime and Intelligence Division with an initial staff of 55

FSA considering introduction of plea bargaining

  • Katten Muchin Rosenman LLP
  • -
  • United Kingdom
  • -
  • April 27 2007

The Financial Times published a study on April 22 which confirmed the findings of earlier work by the UK Financial Services Authority (FSA) that there had been possible insider trading ahead of a takeover announcement in almost one in four cases in 2005 (FSA study published on March 7 and reported in the March 9 CFWD

FSA launches further insider dealing prosecution

  • Katten Muchin Rosenman LLP
  • -
  • United Kingdom
  • -
  • January 9 2009

On January 7, the UK Financial Services Authority (FSA) charged Neil Rollins at the City of Westminster Magistrates' Court with insider dealing and money laundering offenses

FSA fines private bank for weak anti-fraud controls

  • Katten Muchin Rosenman LLP
  • -
  • United Kingdom
  • -
  • May 18 2007

The Financial Services Authority (FSA) announced on May 10 that it had fined BNP Paribas Private Bank £350,000 (approximately $690,000) for weaknesses in its anti-fraud systems and controls

Further fine for market abuse

  • Katten Muchin Rosenman LLP
  • -
  • United Kingdom
  • -
  • January 16 2009

In the November 14, 2008, edition of Corporate and Financial Weekly Digest we reported the UK Financial Services Authority's (FSA's) imposition of fines on Filip Boyen and Richard Ralph for dealing in the shares of Monterrico Metals Plc (Monterrico), an AIM-quoted company, on the basis of inside information

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