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US SEC files civil action charging NATCO with violations under FCPA
- Herbert Smith Freehills LLP
- -
- USA
- -
- June 3 2010
The US Securities and Exchange Commission (SEC) settled its civil enforcement action against NATCO Group Inc (NATCO) earlier this year
FSA publishes small firms' financial crime review
- Herbert Smith Freehills LLP
- -
- United Kingdom
- -
- June 3 2010
The FSA has published a review of small firms' implementation of anti-financial crime systems and controls
FSA issues letter to warn against boiler room fraud
- Herbert Smith Freehills LLP
- -
- United Kingdom
- -
- June 3 2010
The FSA has sent a letter to approximately 38,000 individuals across the UK to warn them that they could be the target of boiler room share fraud
FSA bans trader for mis-marking
- Herbert Smith Freehills LLP
- -
- United Kingdom
- -
- April 13 2010
The FSA has banned Alexis Stenfors, a former proprietary trader, from performing any regulated functions in relation to any regulated activity, on the grounds that he is not a fit and proper person
FSA returns £270,000 to victims of share fraud
- Herbert Smith Freehills LLP
- -
- United Kingdom
- -
- March 10 2010
The FSA has recovered approximately £270,000 as a result of action taken against companies involved in a share fraud
FSA imposes record fine against individual for market abuse
- Herbert Smith Freehills LLP
- -
- United Kingdom
- -
- March 10 2010
The FSA has fined Mehmet Sepil £967,005 for dealing in the shares of UK listed Heritage Oil Plc (Heritage) on the basis of inside information
Three people arrested in FSA insider dealing investigation
- Herbert Smith Freehills LLP
- -
- United Kingdom
- -
- March 10 2010
On 29 January 2010, three individuals were arrested in connection with an FSA investigation into suspected insider dealing
FSA imposes ban and fine for 'mis-marking'
- Herbert Smith Freehills LLP
- -
- United Kingdom
- -
- March 10 2010
The FSA has banned a former employee of a London-based fund manager, and fined him £140,000
SEC charges General Re Corporation for its role in AIG and Prudential accounting fraud
- Herbert Smith Freehills LLP
- -
- USA
- -
- February 16 2010
The US Securities and Exchange Commission (SEC) has issued a complaint against General Re Corporation (Gen Re) for its involvement in assisting American International Group (AIG) and Prudential Financial Inc. with setting up sham transactions to manipulate their financial statements
IOSCO completes global framework to fight against cross-border market abuse
- Herbert Smith Freehills LLP
- -
- Global
- -
- February 16 2010
The International Organisation of Securities Commissions (IOSCO) has announced that it has achieved its goal of having its eligible membership sign onto, or committed to sign, its Multilateral Memorandum of Understanding concerning Consultation, Cooperation and the Exchange of Information (MMOU
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