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JMLSG publishes proposed Part III to the JMLSG Guidance
  • Norton Rose Fulbright LLP
  • United Kingdom
  • May 18 2010

In August 2009, the Board of the Joint Money Laundering Steering Group (JMLSG) indicated that it was contemplating an additional Part III to the JMLSG Guidance


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


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


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


Investment banker and wife charged with insider dealing - third suspect arrested in Mayotte
  • Norton Rose Fulbright LLP
  • United Kingdom
  • March 22 2010

The FSA has issued a press release stating that Christian Littlewood, a senior investment banker, and his wife Angie Littlewood have been charged with 13 counts of insider dealing


FSA and police contact 1,000 share fraud targets after seizing another boiler room ‘master list’
  • Norton Rose Fulbright LLP
  • United Kingdom
  • March 22 2010

The FSA has issued a press release stating that it and the City of London Police have contacted 1,000 people across the UK to warn them that their personal details are on a 'master list' being used by fraudsters to target and sell them worthless shares


Statement on money laundering controls in overseas jurisdictions
  • Norton Rose Fulbright LLP
  • Global, United Kingdom
  • March 22 2010

HM Treasury has published a statement concerning the risks posed by unsatisfactory money laundering controls in a number of jurisdictions


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


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