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Results: 1-10 of 44

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


FSA final notice - Mr Gabriel Aramide
  • Norton Rose Fulbright LLP
  • United Kingdom
  • May 18 2009

The FSA has published a Final Notice concerning Mr Gabriel Aramide banning him and fining him £101,279 for submitting a fraudulent mortgage application and for concealing a fraud conviction when applying to the FSA for approval as a director


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


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

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


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

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


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


Chhabra & Patel
  • Norton Rose Fulbright LLP
  • United Kingdom
  • January 18 2010

The Financial Services and Markets Tribunal (the Tribunal) has found that two friends engaged in market abuse


Corporate broker intern and his father receive 12 and 24-month prison sentences respectively for insider dealing
  • Norton Rose Fulbright LLP
  • United Kingdom
  • February 1 2010

On 10 December 2009, the FSA issued a press release stating that former corporate broker intern, Matthew Uberoi and his father, Neel Uberoi, had been sentenced to 12 and 24-month prison sentences respectively for insider dealing


Amendments to 2007 Guidance
  • Norton Rose Fulbright LLP
  • United Kingdom
  • February 1 2010

On 3 December 2009, the Joint Money Laundering Steering Group (JMLSG) published final amendments to its December 2007 Guidance