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Unprecedented FCPA wake-up call for U.S. broker-dealers and foreign banks: has the perfect FCPA storm finally arrived for U.S. financial markets?

Duane Morris LLP
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USA
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May 14 2013

On May 7, 2013, the U.S. Attorney's Office for the Southern District of New York (SDNY) unsealed extraordinary criminal charges against two

DOJ turns FCPA spotlight on financial services sector as enforcement efforts in Latin America continue

Morrison & Foerster LLP
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USA
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May 15 2013

Last week, the U.S. Department of Justice (DOJ) announced the indictment of two employees of a U.S. broker-dealer, Direct Access Partners, and a

This week at the UK regulators - 7 May 2013

Clifford Chance LLP
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United Kingdom
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May 7 2013

The FCA has remained active on all fronts during the past week. It has charged more individuals in connection with criminal investigations into

UK deferred prosecution agreements: new enforcement tool or blunt instrument?

Fried Frank Harris Shriver & Jacobson LLP
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United Kingdom
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May 14 2013

The Crime and Courts Act 2013 (the "Act") received Royal Assent in April 2013, and makes provision for the introduction of deferred prosecution

FCA prosecutes a former mortgage broker for breach of the general prohibition

Edwards Wildman Palmer LLP
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United Kingdom
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May 10 2013

On 29 April 2013, Michael Joseph James Lewis (a former mortgage broker) appeared at Medway Magistrates Court to face criminal charges brought against

Shah -v- HSBC Private Bank (UK) Limited 2012 EWHC 1283

A&L Goodbody
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Ireland, United Kingdom
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May 29 2012

The English High Court has delivered judgment in the long-running dispute between HSBC Private Bank and a former customer of HSBC, Mr. Jayesh Shah

International bribery charges against broker-dealer employees result from SEC exam

BuckleySandler LLP
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USA
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May 7 2013

On May 7, the DOJ charged two employees of a U.S. broker-dealer and a senior official in Venezuela's state economic development bank for their

FCA fines for poor AML controls

Dentons
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United Kingdom
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May 3 2013

FCA has fined EFG Private Bank Ltd (EFG) £4.2 million for failing to take reasonable care to establish and maintain effective anti-money laundering

New Justice Department’s FIRREA cases against banks: holding the victim responsible

Morvillo Abramowitz Grand Iason & Anello PC
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USA
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May 16 2013

The government's ever-evolving response to the United States financial crisis has come full circle, as civil Justice Department Attorneys seek to

Insurers must implement new anti-money laundering rules by 2015

Mayer Brown LLP
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China
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May 9 2013

The People's Bank of China ("Central Bank") has revamped the country's anti-money laundering rules governing financial institutions, including

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Search results

Unprecedented FCPA wake-up call for U.S. broker-dealers and foreign banks: has the perfect FCPA storm finally arrived for U.S. financial markets?

DOJ turns FCPA spotlight on financial services sector as enforcement efforts in Latin America continue

This week at the UK regulators - 7 May 2013

UK deferred prosecution agreements: new enforcement tool or blunt instrument?

FCA prosecutes a former mortgage broker for breach of the general prohibition

Shah -v- HSBC Private Bank (UK) Limited 2012 EWHC 1283

International bribery charges against broker-dealer employees result from SEC exam

FCA fines for poor AML controls

New Justice Department’s FIRREA cases against banks: holding the victim responsible

Insurers must implement new anti-money laundering rules by 2015

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