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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
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- 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
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- United Kingdom
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- 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
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
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- Global
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- 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
FSMT confirms research analyst and friend committed market abuse
- Herbert Smith Freehills LLP
- -
- United Kingdom
- -
- February 16 2010
The Financial Services and Markets Tribunal (FSMT) has found that Robin Chhabra and his friend, Sameer Patel committed market abuse when using inside information to carry out a series of profitable spread bets
FSA commences criminal proceedings against former iSOFT directors
- Herbert Smith Freehills LLP
- -
- United Kingdom
- -
- February 16 2010
The FSA has commenced criminal proceedings against four former directors, Patrick Cryne, Stephen Graham, Timothy Whiston and John Whelan of iSOFT Group Plc for the offence of conspiracy to make misleading statements, contrary to section 397 (1) (a) and (2) of the Financial Services and Markets Act 2000 and section 1 of the Criminal Law Act 1977
Spector Photo Group and Van Raemdonck v Commissie voor het Bank-, Financie- en Assurantiewezen (CBFA)
- Herbert Smith Freehills LLP
- -
- European Union
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- February 16 2010
The European Court of Justice (ECJ) has published its judgment in the case of Spector Photo Group and Van Raemdonck v Commissie voor het Bank-, Financie- en Assurantiewezen (CBFA
The Financial Services and Markets Act 2000 (Market Abuse) Regulations 2009
- Herbert Smith Freehills LLP
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- United Kingdom
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- January 6 2010
The Financial Services and Markets Act 2000 (Market Abuse) Regulations 2009 were published on 30 November 2009
Gilher Inc. - latest developments
- Herbert Smith Freehills LLP
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- United Kingdom
- -
- January 6 2010
Following an investigation into the investment fund Gilher Inc. on 13 November 2009, the SFO has announced that it has obtained a world-wide restraint order against the fund, in accordance with section 41 of the Proceeds of Crime Act 2002 prohibiting the disposal of assets held by named individuals
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