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Results: 1-10 of 191

Financial Regulatory Developments 24 July - Serious Fraud Office (SFO)
  • Dentons
  • United Kingdom
  • July 24 2015

SFO's annual report highlights convictions under the Bribery Act achieved in the past year. It also notes 12 ongoing prosecutions over the LIBOR


Judgments - so far this year
  • Dentons
  • European Union, United Kingdom
  • June 17 2015

This was a judgment of the European Court of Justice (ECJ). Mr Kolassa, who is domiciled in Austria, invested in certificates issued by Barclays in


Financial Regulatory Developments 23 May - Upper Tribunal (Tribunal)
  • Dentons
  • United Kingdom
  • May 23 2014

The Tribunal has agreed with FCA's decision to ban Ghanshyam Batra from any function in relation to regulated activities. Mr Batra had provided false


Treasury publishes AMLTF report
  • Dentons
  • United Kingdom
  • January 11 2013

Treasury has published its latest annual report on supervision and anti money-laundering (AML) and terrorist finance (TF) risks. It notes the UK and


Iniquity exception to privilege JSC BTA Bank v Ablyazov
  • Dentons
  • United Kingdom
  • August 27 2014

This judgment considers the iniquity exception to legal professional privilege and the point at which a client conducts himself so dishonestly that


Consumer credit FCA publishes final detailed rules 2014 march
  • Dentons
  • United Kingdom
  • March 3 2014

The UK Financial Conduct Authority has published its feedback statement and final form rules on the detailed CC regulatory regime that takes effect


How might the proposed new senior managers and certification regime for individuals have affected accountability for foreign exchange manipulation?
  • Dentons
  • United Kingdom
  • December 8 2014

Shakespeare's often misquoted suggestion, "first kill all the lawyers", still sells very successfully on mugs and T-shirts. It is likely that had he


Financial Regulatory Developments 4 July - HM Treasury (Treasury)
  • Dentons
  • United Kingdom
  • July 4 2014

Treasury has updated the sanctions lists in respect of Libya and Terrorist Financing. (Source: Treasury Updates Sanctions) Contact: Emma Radmore or


Financial Regulatory Developments 17 October - Financial Conduct Authority (FCA)
  • Dentons
  • United Kingdom
  • October 17 2014

FCA has banned the managing and finance directors of Pritchard Stockbrokers Limited for client money failings. The firm was censured. FCA would have


Caught in the tangled web
  • Dentons
  • United Kingdom
  • April 27 2015

This is a case in which the claimant alleged that a bank held money on constructive trust for her. The bank said that it was a bona fide purchaser