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Results: 1-10 of 44

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


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


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 - 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


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


Seven arrests in FSA operation on boiler rooms
  • Norton Rose Fulbright LLP
  • United Kingdom
  • May 11 2009

The FSA has published a press release stating that, in close cooperation with the police, it has conducted a major operation to search a number of premises in Surrey, West Sussex, London and Hertfordshire


FSA speech - Tackling financial crime in the current economic climate
  • Norton Rose Fulbright LLP
  • United Kingdom
  • May 4 2009

The FSA has published a speech by Sally Dewar (Managing Director, Wholesale, FSA) entitled Tackling financial crime in the current economic climate


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