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Results: 1-10 of 44

EU law does not preclude national legislation enabling competent authorities (FIU) to require provision of information direct from firms operating in jurisdiction without permanent establishment in the jurisdiction

  • Herbert Smith Freehills LLP
  • -
  • European Union, Spain
  • -
  • April 29 2013

The European Court of Justice (the Court) has ruled that EU law does not prevent Spanish legislation from requiring credit institutions (operating in

Corporate crime update April 2013 - Spain

  • Herbert Smith Freehills LLP
  • -
  • Spain
  • -
  • April 12 2013

Amendments to the draft bill that aims to modify the legal regime applicable to managers of credit institutions Following the draft bill's public

Corporate crime update - 21 March 2013 - Spain

  • Herbert Smith Freehills LLP
  • -
  • Spain
  • -
  • March 21 2013

The Spanish Minister of Economy and Competition has submitted a draft bill that modifies the legal regime applicable to credit institutions. The

Australian financial institutions accused of being complicit in PNG graft

  • Herbert Smith Freehills LLP
  • -
  • Australia, Papua New Guinea
  • -
  • December 5 2012

It is reported that Sam Koip, chairman of Papua New Guinea's corruption task force, has accused Australian financial institutions of being complicit in graft and corruption by turning a blind eye to money being redirected through Australia

Market abuseinsider dealingFSA enforcement

  • Herbert Smith Freehills LLP
  • -
  • European Union, United Kingdom
  • -
  • December 5 2012

The FSA has published two final guidelines as follows: FG1220 - anti-bribery and corruption systems and controls; and FG1221 - banks' defences against financial crime

FSA publishes draft amendments to investment management regulations folowing AIJ scandal

  • Herbert Smith Freehills LLP
  • -
  • Japan
  • -
  • December 5 2012

Japan's FSA launched a review of existing regulation and government supervision of Japan's asset management sector, following the recent AIJ Investment Advisors Co. scandal, in which AIJ's President was indicted for fraud after it was revealed that AIJ hid pension fund losses of up to $1.4 billion over a nine-year period

Regulator expects to sanction preference share issuers

  • Herbert Smith Freehills LLP
  • -
  • Spain
  • -
  • October 10 2012

The Spanish National Securities Market Commission expects to impose sanctions on six out of ten banks and savings banks that issued preference shares between 2009 and 2011 due to malpractice in the trading of those financial products

Market abuseinsider dealingFSA enforcement

  • Herbert Smith Freehills LLP
  • -
  • United Kingdom
  • -
  • October 10 2012

The Wheatley Review of LIBOR, which was commissioned by HM Treasury to review the London Inter-Bank Offered Rate, has issued its final report

General counsel update: 31 May 2012

  • Herbert Smith Freehills LLP
  • -
  • Argentina, China, European Union, Hong Kong, Singapore, Spain, United Kingdom
  • -
  • May 31 2012

This is the twenty-ninth in our series of General Counsel Updates which aim to summarise major developments in key areas

FSA fines bank and its former MLRO for failure to comply with anti-money laundering requirements

  • Herbert Smith Freehills LLP
  • -
  • United Kingdom
  • -
  • May 31 2012

In May 2012 the FSA issued Final Notices fining Habib Bank AG Zurich (“Habib”) £525,000 for failure to take reasonable care to establish and maintain adequate anti-money laundering (“AML”) systems and controls and fining its former Money Laundering Reporting Officer (“MLRO”) Syed Hussain £17,500 for failure to take reasonable steps to ensure that Habib complied with relevant AML requirements

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