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More FSA criminal investigation into insider dealing

  • Dentons
  • -
  • United Kingdom
  • -
  • January 25 2013

The police have arrested five people in connection with an insider dealing investigation led by FSA. No charges have yet been filed against them

FSA helps find a boiler room

  • Dentons
  • -
  • United Kingdom
  • -
  • May 8 2009

FSA has worked with UK police forces as part of a Europe-wide investigation into share fraud and boiler room activities which have led to £28 million losses for investors

Financial sanctions compliance: FSA on the warpath

  • Dentons
  • -
  • United Kingdom
  • -
  • July 16 2009

Prevention of financial crime is high on the UK financial regulatory agenda

FSA bans firms

  • Dentons
  • -
  • United Kingdom
  • -
  • August 21 2009

FSA has banned: a sole trader who was convicted of money laundering; a firm that had not carried on any regulated activity for one year; and a firm that had not paid fees

FSA withdraws director approval

  • Dentons
  • -
  • United Kingdom
  • -
  • September 4 2009

FSA has withdrawn approval from Steven Moorley, the former CEO of a firm in liquidation, to carry on the CF3 and 8 functions

JMLSG consults on guidance changes

  • Dentons
  • -
  • United Kingdom
  • -
  • September 25 2009

JMLSG has published more proposed changes to its Guidance, following its proposals of August

FSA fines father and son for market abuse

  • Dentons
  • -
  • United Kingdom
  • -
  • July 23 2010

FSA fined Jeremy Burley £144,200 (including a payment of the financial benefit made through the market abuse) and his father, Jeffery Burley, £35,000 for engaging in market abuse in relation to the shares of Tower Resources plc, an oil and gas exploration company, in June 2009

FATF looks at financial crime in securities business

  • Dentons
  • -
  • United Kingdom
  • -
  • October 30 2009

FATF has published an analysis of money laundering and terrorist finance in the securities sector

Complying with sanctions laws: JMLSG takes action

  • Dentons
  • -
  • United Kingdom
  • -
  • June 21 2010

Regulators are keeping up the pressure on financial institutions to comply with all anti-financial crime laws

FSA fines firm and MLRO

  • Dentons
  • -
  • United Kingdom
  • -
  • May 7 2010

FSA has fined Alpari (UK) Ltd £140,000 and fined its former MLRO £14,000 for failing to have in place adequate AML systems and controls