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Appeal tribunal confirms £8 million market manipulation fine
- Katten Muchin Rosenman LLP
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- United Kingdom
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- February 1 2013
On January 28, the Upper Tribunal (Tax and Chancery Chamber) upheld the decision of the Regulatory Decisions Committee (RDC) of the UK Financial
FSA bans former hedge fund CEO Alberto Micalizzi and imposes £3 million fine
- Katten Muchin Rosenman LLP
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- USA
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- June 1 2012
On May 29, the UK Financial Services Authority (FSA) announced that it had decided to fine Alberto Micalizzi £3 million (approximately $4.6 million) and ban him from performing any role in regulated financial services for not being fit and proper
Appeal tribunal upholds FSA ban and fine on former investment bank advisers
- Katten Muchin Rosenman LLP
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- USA
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- May 25 2012
On May 21, the Upper Tribunal (Tax and Chancery Chamber) published related decisions upholding the Financial Services Authority's decision notices imposing fines and bans on both Sachin Karpe and Laila Karan
Former corporate broking managing director fined £350,000 for inside information disclosure
- Katten Muchin Rosenman LLP
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- United Kingdom
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- February 17 2012
On February 16, following on from the disciplinary actions against David Einhorn, Greenlight Capital, Alexander Ten-Holter and Caspar Agnew reported in the January 27, 2012 and February 3, 2012 editions of Corporate and Financial Weekly Digest, the UK Financial Services Authority (FSA) published a further final notice and announced that it had imposed a fine of £350,000 (approximately $550,000) on Andrew Osborne, a former Corporate Broking Managing Director of a major investment bank, for engaging in market abuse by improperly disclosing inside information ahead of a significant equity fundraising by Punch Taverns Plc (Punch) in June 2009
FSA fines compliance officer and trader in connection with market abuse case
- Katten Muchin Rosenman LLP
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- United Kingdom
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- February 3 2012
Following on from the disciplinary actions against David Einhorn and Greenlight Capital as reported in the January 27, 2012 edition of Corporate and Financial Weekly Digest, the UK Financial Servcies Authority (FSA) published final notices against two more individuals: Alexander Ten-Holter (a trader and former compliance officer at Greenlight Capital (UK) LLP) and Caspar Agnew (a trading desk director at JP Morgan Cazenove
David Einhorn and Greenlight Capital Inc. fined £7.2m for insider trading
- Katten Muchin Rosenman LLP
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- United Kingdom
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- January 27 2012
On January 25, the UK Financial Services Authority (FSA) announced the imposition of penalties totaling £7.3M (approximately $11.5M) on David Einhorn and Greenlight Capital Inc. (Greenlight), for market abuse in June 2009 in relation to trading in equities of Punch Taverns plc (Punch
European Commission publishes proposals for revised market abuse directive
- Katten Muchin Rosenman LLP
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- European Union, United Kingdom
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- December 9 2011
The European Commission has published its proposals for the revision of the Market Abuse Directive (20036EC) (MAD
FSA fines and bans hedge fund manager's compliance officer
- Katten Muchin Rosenman LLP
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- United Kingdom
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- December 9 2011
The FSA has published the final notice it has issued to Dr. Sandradee Joseph, the former compliance officer of hedge fund manager Dynamic Decisions Capital Management Ltd (Dynamic) (a hedge fund management company
FSA imposes £8 million market abuse fine
- Katten Muchin Rosenman LLP
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- United Kingdom
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- September 16 2011
On August 31, the UK Financial Services Authority (FSA) announced an £8 million (approximately $12.6 million) fine on Swift Trade Inc. (Swift Trade), a Canadian company that is not FSA authorized or regulated, for market abuse in the form of “layering.”
ESMA issues statement on short selling and market abuse
- Katten Muchin Rosenman LLP
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- European Union
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- August 19 2011
On August 11, in the context of the short selling restrictions introduced by Belgium, France, Italy and Spain, the European Securities and Markets Authority (ESMA) issued a statement reiterating the requirements set out in the European Union Market Abuse Directive (MAD) and implemented in national laws that prohibit the dissemination of information which gives, or is likely to give, false or misleading signals as to financial instruments
Current Search
- Workarea - White Collar Crime
- Workarea - Capital Markets
- Firm Name - Katten Muchin Rosenman LLP
- Author - Edward Black