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Results: 1-10 of 42

Financial services updater - 4 February 2014: money laundering
  • Norton Rose Fulbright LLP
  • European Union, United Kingdom
  • February 4 2014

The European Parliament has updated its procedure file on the proposed Fourth Money Laundering Directive. The procedure file now indicates that the


Financial services updater 13 January 2014: enforcement
  • Norton Rose Fulbright LLP
  • United Kingdom
  • January 13 2014

The FCA has fined JLT Specialty Limited (JLTSL), which provides insurance broking and risk management services, £1,876,000 for failing to maintain


Money laundering
  • Norton Rose Fulbright LLP
  • United Kingdom
  • March 9 2009

The Joint Money Laundering Steering Group (JMLSG) has published on its website, an addition to Part I of its December 2007 Guidance, to provide industry guidance on compliance with directions issued under Schedule 7 of the Counter-Terrorism Act 2008


The small firms financial crime review
  • Norton Rose Fulbright LLP
  • United Kingdom
  • 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


Avoiding corruption risks in the city: the Bribery Act 2010
  • Norton Rose Fulbright LLP
  • United Kingdom
  • May 31 2010

The City of London Corporation has published a report prepared by Transparency International which is entitled Avoiding Corruption Risks in the City: The Bribery Act 2010


FSA commences criminal proceedings against third individual for insider dealing
  • Norton Rose Fulbright LLP
  • United Kingdom
  • 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 imposes fines of £4.25m on Winterflood and two traders for market abuse following success in Court of Appeal
  • Norton Rose Fulbright LLP
  • United Kingdom
  • 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 Fulbright LLP
  • United Kingdom
  • 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


OFT announces criminal charges against North London credit company
  • Norton Rose Fulbright LLP
  • United Kingdom
  • May 3 2010

The Office of Fair Trading (OFT) has brought charges against London North Securities Limited and its director Harvey Collis, accusing them of carrying on a consumer credit business without a licence


FSA enforcement
  • Norton Rose Fulbright LLP
  • United Kingdom
  • December 7 2009

An insurance broker has been prohibited following his conviction for conspiracy to defraud