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Results: 1-10 of 44

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


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
  • December 14 2009

The Joint Money Laundering Steering Group (JMLSG) has published final amendments to its December 2007 Guidance, which has been submitted to HM Treasury for Ministerial approval


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 fines broker for failing to prevent insider dealing
  • Norton Rose Fulbright LLP
  • United Kingdom
  • September 7 2009

The FSA has fined an investment adviser at a retail stockbroking firm £20,000 for a breach of Principle 3 in failing to identify that a transaction was being conducted on the basis of inside information


Fighting fraud - keeping safe
  • Norton Rose Fulbright LLP
  • United Kingdom
  • February 22 2010

The British Bankers Association (BBA) has published new guidance that provides advice for bank staff and consumers on how best to avoid being a victim of fraud


Three Turkish oil company executives fined £1.16 million for market abuse
  • Norton Rose Fulbright LLP
  • United Kingdom
  • February 22 2010

The Chief Executive Officer of a Turkish oil exploration company called Genel Enerji (Genel) has been fined £967,000 for dealing in the shares of Heritage Oil Plc (Heritage) on the basis of inside information


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


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