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FSA helps find a boiler room

Dentons
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United Kingdom
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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

FSA withdraws director approval

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FSA has withdrawn approval from Steven Moorley, the former CEO of a firm in liquidation, to carry on the CF3 and 8 functions

Court of Appeal signals cooperation with SEC to combat investment fraud

Edwards Wildman Palmer LLP
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United Kingdom
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February 3 2009

The English Court of Appeal has shown its readiness to cooperate with foreign regulators in this case, the US Securities and Exchange Commission by agreeing to freeze allegedly suspect assets

FSA publishes views on rogue trader risk

Katten Muchin Rosenman LLP
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United Kingdom
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March 14 2008

On March 11, the UK Financial Services Authority (FSA) published Market Watch 25, which highlights measures UK authorized firms should consider to protect themselves against “rogue trader” risk

JMLSG consults on guidance changes

Dentons
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United Kingdom
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September 25 2009

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

Setting out the FSA’s strategy and approach to fighting fraud

Norton Rose LLP
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United Kingdom
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September 21 2009

On 11 September 2009, the FSA published a speech by Margaret Cole, Director of Enforcement, FSA

FSA bans and fines trader for unauthorized “pre-hedging”

Katten Muchin Rosenman LLP
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United Kingdom
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May 29 2009

The UK Financial Services Authority (FSA) announced on May 26 that it had banned and fined trader Nilesh Shroff for deliberately disadvantaging his customers on seven occasions between June and October 2007 by partially "pre-hedging" program trades without the clients’ consent

Apparently infallible trader awarded loss of potential profits

Matheson
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United Kingdom
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June 2 2009

The Commercial Court of England and Wales recently handed down an important judgment allowing the owner of a investment fund to recover (a) his direct losses made as a result of making certain poor investments based on fraudulent misrepresentations made to him by a broker and (b) notably further significant damages for the loss of profits that he successfully argued he would have made had such poor investments not been made but the relevant funds instead invested elsewhere in the market in accordance with his usual (very successful to date) investment techniques

FSA secures over £1 million for victims of share scam

Norton Rose LLP
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United Kingdom
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February 16 2009

The FSA has obtained a court order requiring the owner and sole director of a UK company, Bayshore Nominees Limited to pay compensation to investors who were victims of a share scam operated by overseas entities

FSA wins appeal against Fox Hayes for breach of financial promotions regime

Edwards Wildman Palmer LLP
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United Kingdom
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February 23 2009

The Court of Appeal has awarded victory to the Financial Services Authority (FSA) in a case against solicitors Fox Hayes regarding the approval of financial promotions on behalf of others

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Search results

FSA helps find a boiler room

FSA withdraws director approval

Court of Appeal signals cooperation with SEC to combat investment fraud

FSA publishes views on rogue trader risk

JMLSG consults on guidance changes

Setting out the FSA’s strategy and approach to fighting fraud

FSA bans and fines trader for unauthorized “pre-hedging”

Apparently infallible trader awarded loss of potential profits

FSA secures over £1 million for victims of share scam

FSA wins appeal against Fox Hayes for breach of financial promotions regime

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