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Results: 1-8 of 8

ASIC fails to build case against Fortescue CEO

  • Norton Rose LLP
  • -
  • Australia
  • -
  • July 29 2010

The corporate regulator's recent track record in relation to the prosecution of directors continued on 23 December 2009 when Justice Gilmour of the Federal Court handed down judgment in Australian Securities & Investments Commission v Fortescue Metals Group Ltd

The small firms financial crime review

  • Norton Rose LLP
  • -
  • United Kingdom
  • -
  • May 31 2010

In April 2008, the FSA launched a major thematic project which was aimed at establishing the extent to which small firms across the financial services industry addressed financial crime risks in their businesses

FSA enforcement - powers and tools

  • Norton Rose LLP
  • -
  • United Kingdom
  • -
  • May 10 2010

The FSA's new policy on assessment of enforcement penalties for corrupt and fraudulent acts is now in force and applies to conduct occurring after 6 March 2010

Draft BaFin circular on prevention of fraudulent acts

  • Norton Rose LLP
  • -
  • Germany
  • -
  • May 3 2010

The German Federal Financial Supervisory Authority (BaFin) issued a draft circular applicable to all credit institutions, financial services firms, investment management companies, payment institutions, financial holding companies and mixed financial holding companies in Germany and addresses the prevention of fraudulent acts

The FSA's agenda for fighting financial crime

  • Norton Rose LLP
  • -
  • United Kingdom
  • -
  • November 30 2009

The FSA has published a speech given by Margaret Cole, Director of Enforcement, FSA

Setting out the FSA’s strategy and approach to fighting fraud

  • Norton Rose LLP
  • -
  • United Kingdom
  • -
  • September 21 2009

On 11 September 2009, the FSA published a speech by Margaret Cole, Director of Enforcement, FSA

FSA speech - Tackling financial crime in the current economic climate

  • Norton Rose LLP
  • -
  • United Kingdom
  • -
  • May 4 2009

The FSA has published a speech by Sally Dewar (Managing Director, Wholesale, FSA) entitled Tackling financial crime in the current economic climate

FSA speech - Financial crime and market stability

  • Norton Rose LLP
  • -
  • United Kingdom
  • -
  • September 8 2008

The FSA has published a speech by Philip Robinson (FSA Financial Crime & Intelligence Division Director) entitled Financial crime and market stability

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