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Results: 1-10 of 51

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

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FSA has withdrawn approval from Steven Moorley, the former CEO of a firm in liquidation, to carry on the CF3 and 8 functions

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

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

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

OFT publishes AML feedback

  • Dentons
  • -
  • United Kingdom
  • -
  • December 23 2010

OFT has published a summary of responses to its consultation on its approach to supervision under the Money Laundering Regulations 2007

IMA comments on FATF Standards

  • Dentons
  • -
  • Global
  • -
  • January 14 2011

IMA has commented on FATF's consultation on its review of its Standards

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

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

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