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FSA prosecutes for change of control offence
  • Locke Lord LLP
  • United Kingdom
  • February 19 2010

Semperian PPP Investment Partners (Semperian) has pleaded guilty to an offence under section 191(3) of the Financial Services and Markets Act 2000


Court of Appeal considers parallel proceedings and non-exclusive jurisdiction clauses
  • Locke Lord LLP
  • United Kingdom
  • July 30 2009

In Highland Crusader Offshore Partners v Deutsche Bank AG (2009 EWCA Civ 725) the Court of Appeal considered the operation of a non-exclusive jurisdiction clause, whereby the parties submitted to English jurisdiction (but were not permitted from proceeding in another country of competent jurisdiction), against the background of proceedings in Texas and London


Speech by Sally Dewar - taking the FSA's corporate governance agenda forward
  • Locke Lord LLP
  • United Kingdom
  • April 6 2010

Sally Dewar, the Financial Services Authority's (FSA) managing director of Risk, gave a speech entitled "Taking the FSA's corporate governance agenda forward" at the City Corporate Governance and Remuneration Summit on 30 March 2010


Two former Bear Stearns hedge fund managers acquitted of criminal fraud charges
  • Locke Lord LLP
  • USA
  • November 10 2009

Today, in the first criminal prosecution arising out of the subprime crisis, a jury acquitted two former Bear Stearns hedge fund managers, Matthew Tannin and Ralph Cioffi, of securities, wire and mail fraud


UK Chancellor sets out proposals for reform of financial services regulation
  • Locke Lord LLP
  • United Kingdom
  • June 17 2010

In the annual Mansion House Speech on 16 June 2010, the UK Chancellor announced his intention to abolish the tri-partite system of financial regulation established by the former Labour government


Confederation of British Industry and PricewaterhouseCoopers publish report on the future of the financial services industry
  • Locke Lord LLP
  • United Kingdom
  • January 28 2010

On the 20th anniversary of the Confederation of British Industry and PricewaterhouseCoopers Financial Services Survey, twenty leading figures from across the financial services industry have given their views in a report entitled "2020 Vision - The Future of Financial Services" (the Report


SEC takes interest in life settlements
  • Locke Lord LLP
  • USA
  • October 23 2009

SEC Commissioner Mary L. Schapiro indicated on October 22, 2009 that life settlements are an "area of emerging interest" to the SEC


The Financial Services Authority publishes independent review of financial promotions compliance
  • Locke Lord LLP
  • United Kingdom
  • January 26 2010

The Financial Services Authority (FSA) has recently published the results of an independent review of firms' compliance with its financial promotions requirements (the Review


FSA issues reminder on its approval and interview process for significant influence functions
  • Locke Lord LLP
  • United Kingdom
  • October 27 2009

On 14 October 2009, the FSA wrote to the CEOs of certain regulated firms to clarify its new approach to the approval and supervision of persons performing significant influence functions (SIFs


SEC and NAIC take affirmative steps to address corporate disclosures regarding climate change
  • Locke Lord LLP
  • USA
  • October 27 2009

On October 2, 2009, as part of the 48th Annual Corporate Counsel Institute held at Northwestern University School of Law, SEC Commissioner Elisse B. Walter gave a speech entitled “SEC Rulemaking ‘Advancing The Law’ To Protect Investors.”