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Results: 1-10 of 27

Anti-money laundering and anti-bribery systems and controls at asset management firms: FCA thematic review

  • Herbert Smith Freehills LLP
  • -
  • United Kingdom
  • -
  • December 1 2013

In October 2013, the Financial Conduct Authority (FCA) published the much-anticipated report of its thematic review into anti-money laundering (AML

Uberoi sentencing hearing

  • Herbert Smith Freehills LLP
  • -
  • United Kingdom
  • -
  • January 6 2010

Matthew Uberoi and his father, Neel Uberoi, were sentenced to 12 and 24 months' imprisonment respectively, for insider dealing on 10 December 2009

Market abuse: ECJ holds in Daimler case that steps preceding a decision may constitute inside information

  • Herbert Smith Freehills LLP
  • -
  • European Union
  • -
  • June 29 2012

In its judgment in the case of Markus Geltl v Daimler AG C-1911 yesterday, the European Court of Justice provided clarification on the requirement that information must be "of a precise nature" to be "inside information"

Insider traders ordered to pay £180,000 in costs and disgorgement of profits

  • Herbert Smith Freehills LLP
  • -
  • United Kingdom
  • -
  • September 3 2009

Former General Counsel of TTP Communications Christopher McQuoid, and his father-in-law, James William Melbourne have been ordered to pay £180,000 in costs and disgorgement of profits

SEC charges attorney in insider trading scheme

  • Herbert Smith Freehills LLP
  • -
  • USA
  • -
  • January 6 2010

The Securities and Exchange Commission (SEC) has charged lawyer, Brien. P. Santarlas for disclosing non-public information about a proposed corporate acquisition relating to one of the firm's clients in exchange for kickbacks

The Financial Services and Markets Act 2000 (Market Abuse) Regulations 2009

  • Herbert Smith Freehills LLP
  • -
  • United Kingdom
  • -
  • 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
  • -
  • 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

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

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

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