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Financial services update vol. 10, issue 24
  • Winston & Strawn LLP
  • United Kingdom, USA
  • July 20 2015

In April of this year, the Department of Labor (“DOL”) proposed a rule which amends the definition of “fiduciary” under the Employee Retirement


The Financial Report July 9, 2015 - news from Europe
  • DLA Piper LLP
  • European Union, United Kingdom
  • July 9 2015

The UK Prudential Regulation Authority (PRA) and Financial Conduct Authority (FCA) published the final rules for the Senior Managers Regime, the


Corporate crime & investigations update - 9 July 2015
  • Addleshaw Goddard LLP
  • Hong Kong, United Kingdom
  • July 9 2015

The Financial Action Task Force (FATF) has announced that Indonesia shall no longer be subject to its global AMLCFT compliance process monitoring as


Foreign Corrupt Practices Act (FCPA) business guide - 2015 mid-year update
  • Jenner & Block
  • Brazil, United Kingdom, USA
  • July 1 2015

The first half of 2015 witnessed a number of important developments in Foreign Corrupt Practices Act (“FCPA”) enforcement. Although both the DOJ and


Wall crossings and insider dealing Financial Services Authority levies the second highest ever fine against Greenlight Capital hedge fund trader David Einhorn
  • Hogan Lovells
  • United Kingdom
  • February 1 2012

On 12 January 2012, the Financial Services Authority ("FSA") levied its second highest ever fine of £3,638,000 against US hedge fund trader David Einhorn and a fine of £3,650,795 against Greenlight Capital Inc for market abuse


Market abuse update April 2015
  • Herbert Smith Freehills LLP
  • Australia, European Union, United Kingdom, USA
  • April 16 2015

2014 was marked by record fines for benchmarkmManipulation globally, criminal prosecutions for insider trading and market manipulation, and the first


Understanding forex manipulation
  • Collyer Bristow LLP
  • United Kingdom
  • April 14 2014

Following on the heels of the LIBOR manipulation scandal, the latest allegation levelled at the banks is that they conspired to manipulate foreign


FCA publishes criteria used for formal enforcement investigations
  • Katten Muchin Rosenman LLP
  • United Kingdom
  • July 12 2015

The UK Financial Conduct Authority provided insight on when it decides to investigate possible wrongdoing in a published document entitled


Global anti-corruption insights - Winter 2015
  • Arnold & Porter LLP
  • Global, United Kingdom, USA
  • February 27 2015

The Department of Justice and the Securities and Exchange Commission continued their focus on the Foreign Corrupt Practices Act in 2014, resolving


Market abuse update
  • Herbert Smith Freehills LLP
  • Australia, European Union, France, Hong Kong, United Kingdom, USA
  • December 15 2014

The FCA has continued to build on the strong track record of civil and criminal enforcement action against abusive conduct and manipulation, notably