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Results: 1-10 of 134

Court sentences non-authorised adviser for failure to pay
  • Dentons
  • United Kingdom
  • March 18 2016

Phillip Boakes, prosecuted following FCA's investigation into unauthorised trading, and sentenced to 10 years' imprisonment for fraudulent trading


SFO closes forex investigation
  • Dentons
  • United Kingdom
  • March 18 2016

SFO has announced the closure of its investigation into allegations of fraudulent conduct in the foreign exchange market. SFO has concluded that


Former Schroders trader pleads guilty to insider dealing
  • Dentons
  • United Kingdom
  • March 18 2016

Damian Clarke, a former equities trader at Schroders Investment Management Limited (Schroders), has pleaded guilty at Southwark Crown Court to two


Tribunal decides on identification in IBOR case
  • Dentons
  • United Kingdom
  • March 11 2016

The Tribunal heard the application of Joerg Vogt, who alleged FCA's Final Notice relating to Deutsche Bank's misconduct in respect of interbank rates


Reform Bill notices of amendments to FSMA
  • Dentons
  • United Kingdom
  • February 12 2016

Parliament has published government amendments to the Bank of England and Financial Services Bill (Reform Bill) relating to a new Part 20B of the


Commission formalises MiFID 2 delay proposal
  • Dentons
  • European Union
  • February 12 2016

The Commission has published its proposal to extend every implementation date in the revised Markets in Financial Instruments Directive (MiFID 2) and


LIBOR defendants acquitted
  • Dentons
  • United Kingdom
  • February 5 2016

Six individuals have been found not guilty of conspiracy to defraud in connection with SFO's ongoing criminal investigation into the manipulation of


Commission publishes EU MAR exemptions
  • Dentons
  • European Union
  • December 23 2015

The Commission has published a Delegated Regulation to supplement EU MAR, covering: the extension of the exemption from the obligations and


FCA fines Threadneedle for fixed income desk failings
  • Dentons
  • United Kingdom
  • December 23 2015

FCA has fined Threadneedle Asset Management Limited £6,038,504 for breach of Principles 3 and 11 between 2010 and 2012. The failings relate to


Court dismisses application for mis-selling “fishing” exercise
  • Dentons
  • United Kingdom
  • December 23 2015

The High Court has dismissed an application by a firm that alleged Barclays had mis-sold a swap, to require Barclays to disclose documents relating