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Results: 1-10 of 42

Setting out the FSA’s strategy and approach to fighting fraud
  • Norton Rose Fulbright LLP
  • United Kingdom
  • September 21 2009

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


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


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


Amendments to 2007 Guidance
  • Norton Rose Fulbright LLP
  • United Kingdom
  • March 12 2009

On 27 February 2009, the Joint Money Laundering Steering Group (JMLSG) published 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


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


FSA final notices
  • Norton Rose Fulbright LLP
  • United Kingdom
  • March 16 2009

A Tribunal hearing in the Winterflood market abuse hearing has taken place


FSA warning regarding boiler room share fraudsters
  • Norton Rose Fulbright LLP
  • United Kingdom
  • 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


Anti-bribery and corruption in commercial insurance broking
  • Norton Rose Fulbright LLP
  • United Kingdom
  • May 21 2010

The FSA has published a report which describes how commercial insurance broker firms in the UK are addressing the risks of becoming involved in corrupt practices such as bribery


One arrested in FSA and CoLP insider dealing investigation
  • Norton Rose Fulbright LLP
  • United Kingdom
  • 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


Former Cazenove partner found guilty of insider dealing
  • Norton Rose Fulbright LLP
  • United Kingdom
  • March 15 2010

Malcolm Calvert, a former equities marketmaker who had retired from stock broker Cazenove, was found guilty of five counts of insider dealing