We use cookies to customise content for your subscription and for analytics.
If you continue to browse Lexology, we will assume that you are happy to receive all our cookies. For further information please read our Cookie Policy.
In cooperation with Association of Corporate Counsel
  Request new password

Search results

Order by most recent / most popular / relevance

Results: 1-10 of 70

Management consultant convicted of insider dealing

  • Dentons
  • -
  • USA
  • -
  • December 22 2011

FSA has secured another conviction for insider dealing

EP updates voting dates

  • Dentons
  • -
  • European Union
  • -
  • October 5 2012

EP has announced new voting dates on its legislative observatory OEIL

FATF publishes corruption laundering paper

  • Dentons
  • -
  • Global
  • -
  • July 6 2012

FATF has published a paper to help institutions better analyse and understand specific risk factors that may suggest corruption-based money laundering risk

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

Financial Regulatory Developments 7 February - Financial Conduct Authority (FCA)

  • Dentons
  • -
  • United Kingdom
  • -
  • February 7 2014

FCA has published a policy statement confirming its new rules which: ban new referral payments from a discretionary investment manager (DIM) to an

Treasury updates sanctions

  • Dentons
  • -
  • United Kingdom
  • -
  • February 24 2012

Treasury has renewed a number of designations under the Terrorist Asset Freezing Act

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 and bans wealth manager over UCIS

  • Dentons
  • -
  • United Kingdom
  • -
  • June 1 2012

FSA has fined Patrick O'Donnell of P3 Wealth Management Limited £60,000 for advising clients to invest in unsuitable products

FSA publishes John Blake final notice

  • Dentons
  • -
  • United Kingdom
  • -
  • October 19 2012

Following the withdrawal of his referral of the case to the Upper Tribunal, FSA has confirmed the fine and ban on John Blake

Financial Regulatory Developments 7 February - European Commission (Commission)

  • Dentons
  • -
  • European Union, USA
  • -
  • February 7 2014

The Commission has published its first EU anti-corruption report. The report looks at each Member State's laws and practices, analysing how well they