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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

Corporate crime update September 2013 - United Kingdom

  • Herbert Smith Freehills LLP
  • -
  • United Kingdom
  • -
  • September 20 2013

On 8 August 2013 the Financial Conduct Authority ("FCA") issued a Final Notice against Guaranty Trust Bank (UK) Limited ("GTBUK"), the fifth in a

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

Terrorist financingsanctionsmoney laundering

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

Following a consultation on proposed changes to the Money Laundering Regulations 2007 (S.I. 20072156), HM Treasury has published: The Money Laundering (Amendment) Regulations 2012 (20122298) and explanatory memorandum; and The Terrorism Act 2000 and Proceeds of Crime Act 2002 (Business in the regulated sector) (No. 2) Order 2012 (20122299) and explanatory memorandum

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

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

Fraud, bribery and corruption

  • Herbert Smith Freehills LLP
  • -
  • United Kingdom, USA
  • -
  • May 4 2012

David Green CB QC has started his role as the new Director of the SFO

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 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

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