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Results: 1-10 of 109

Market Misconduct Tribunal gives Tiger Asia the "cold shoulder"

  • RPC
  • -
  • Hong Kong
  • -
  • October 10 2014

Hong Kong's Market Misconduct Tribunal (the MMT) has banned Tiger Asia Management LLC (a hedge fund based in New York) and one of its principal

Market manipulation: why you should give a Forex

  • RPC
  • -
  • United Kingdom
  • -
  • March 24 2014

Allegations of manipulation in the Forex market have the potential to give rise to both regulatory fines and legal claims dwarfing those relating to

Freezing orders and fortification of cross-undertakings

  • RPC
  • -
  • United Kingdom
  • -
  • August 12 2010

On 21 May 2010, Justice Floyd handed down his judgment in Bloomsbury International Ltd (in administration) v Mark Alan Holyoake

A continuation on the thematic review: insurance broker fined for ABC failings

  • RPC
  • -
  • United Kingdom
  • -
  • March 25 2014

Such is the seeming regularity with which insurance brokers face censure from the FCA for failings in their anti-bribery and corruption systems and

Bribes and undisclosed commissions to agents: supreme clarity

  • RPC
  • -
  • United Kingdom
  • -
  • September 23 2014

The recent Supreme Court decision in FHR European Ventures LLP v Cedar Capital Partners LLC concerned the enforcement rights which are available in

Fuzzy-matching and the sanctions regimes

  • RPC
  • -
  • United Kingdom
  • -
  • March 10 2011

Given the ongoing political unrest in the Middle East and the speed at which individuals, entities and entire regimes can be added to HM Treasury and OFAC's consolidated sanctions lists (most recently, Libya and Tunisia), firms must ensure that their financial sanctions policies and procedures are effective and that in particular, systems for routine, real-time screening of all new and existing clients are in place

Illegality defence explored further

  • RPC
  • -
  • United Kingdom
  • -
  • October 2 2012

The illegality defence is based on legal policy designed to prevent a person who has been involved in some form of illegal conduct from enforcing their normal legal rights and from profiting from their own wrongs

Cyber risks in Asia

  • RPC
  • -
  • Hong Kong, Singapore, South Korea
  • -
  • February 3 2014

Earlier this month, approximately 20 million South Koreans (almost half of the country's population) learned that their names, social security

Hong Kong: anti-money laundering and compliance

  • RPC
  • -
  • China, Hong Kong, United Kingdom
  • -
  • July 25 2014

A recent announcement by the Securities and Futures Commission (SFC) that a securities dealer and asset management company has been publicly

Hong Kong regulator pursues market misconduct

  • RPC
  • -
  • Hong Kong
  • -
  • July 25 2013

In this e-briefing article we combine, for ease of reference, three recent short articles that we have written concerning the Securities and Futures