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The small firms financial crime review
- Norton Rose LLP
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- United Kingdom
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- May 31 2010
In April 2008, the FSA launched a major thematic project which was aimed at establishing the extent to which small firms across the financial services industry addressed financial crime risks in their businesses
Public hearing "market abuse: promoting deterrence, market integrity and investor protection"
- Norton Rose LLP
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- European Union
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- May 31 2010
The European Commission is holding a public hearing on the review of the Market Abuse Directive (MAD) on 2 July 2010 in Brussels
One arrested in FSA and CoLP insider dealing investigation
- Norton Rose LLP
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- United Kingdom
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- May 21 2010
The FSA has issued a press notice stating that investigators from its Enforcement and Financial Crime Division acting with the assistance of the City of London Police (CoLP) have conducted a search operation at a residential address in East London
FSA warning regarding boiler room share fraudsters
- Norton Rose LLP
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- United Kingdom
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- May 21 2010
The FSA has issued a press notice stating that it is contacting more than 38,000 people across the UK to warn them that they could be the target of share fraud after it recovered a master list used by boiler room fraudsters
FSA imposes fines of £4.25m on Winterflood and two traders for market abuse following success in Court of Appeal
- Norton Rose LLP
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- United Kingdom
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- May 3 2010
The FSA has won its market abuse case in the Court of Appeal against Winterflood Securities Limited and two of its traders, Stephen Sotiriou and Jason Robins
FSA charges ex-hedge fund trader
- Norton Rose LLP
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- United Kingdom
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- May 3 2010
The FSA has charged Anjam Ahmad, an ex-hedge fund trader, with one count of conspiracy to commit insider dealing contrary to section 1 of the Criminal Law Act 1977
FSA commences criminal proceedings against third individual for insider dealing
- Norton Rose LLP
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- United Kingdom
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- April 5 2010
The FSA has confirmed that it has commenced criminal proceedings against Helmy Omar Sa'aid for the offences of insider dealing (under s.52(1) of the Criminal Justice Act 1993) and conspiracy to commit insider dealing (under s.1(1) of the Criminal Law Act 1977) relating to trading in a number of different London Stock Exchange and AIM listed shares between 2000 and 2009
FSA and SOCA joint insider dealing investigation
- Norton Rose LLP
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- United Kingdom
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- March 29 2010
In the first operation carried out jointly between the FSA and the Serious Organised Crime Agency, on 23 March 2010 sixteen addresses were searched in London, the South East and Oxfordshire in the FSA's largest ever operation against insider dealing
Investment banker and wife charged with insider dealing - third suspect arrested in Mayotte
- Norton Rose LLP
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- United Kingdom
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- March 22 2010
The FSA has issued a press release stating that Christian Littlewood, a senior investment banker, and his wife Angie Littlewood have been charged with 13 counts of insider dealing
FSA and police contact 1,000 share fraud targets after seizing another boiler room ‘master list’
- Norton Rose LLP
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- United Kingdom
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- March 22 2010
The FSA has issued a press release stating that it and the City of London Police have contacted 1,000 people across the UK to warn them that their personal details are on a 'master list' being used by fraudsters to target and sell them worthless shares
Current Search
- Workarea - Capital Markets
- Workarea - White Collar Crime
- Author - Jonathan Herbst
- Firm Name - Norton Rose LLP