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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


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


Shah -v- HSBC Private Bank (UK) Limited 2012 EWHC 1283
  • A&L Goodbody
  • Ireland, United Kingdom
  • May 29 2012

The English High Court has delivered judgment in the long-running dispute between HSBC Private Bank and a former customer of HSBC, Mr. Jayesh Shah


Gambling, money laundering and reasonable suspicion: a bank’s right to freeze customer accounts
  • Burges Salmon LLP
  • United Kingdom
  • April 23 2015

In a case that provides a welcome clarification for financial institutions concerned about money laundering risks, the High Court has ruled, in Iraj


Global Market Abuse News - Spring 2015
  • Freshfields Bruckhaus Deringer LLP
  • China, France, Germany, Hong Kong, Italy, Japan, Spain, United Kingdom, USA
  • March 24 2015

In February 2015, the Court of First Instance ordered that China Metal Recycling (Holdings) Limited (CMR) be wound up in the public interest. This is


Shah v HSBC: what duties do banks owe their customers when making SARs?
  • Herbert Smith Freehills LLP
  • United Kingdom
  • April 24 2009

Earlier this year, the High Court considered a claim by a customer against his bank in relation to its failure to process transactions whilst requests for consent under the Proceeds of Crime Act 2002 (POCA) were pending with the Serious Organised Crime Agency (SOCA


International quarterly - issue 10, 2014
  • Fenwick Elliott Solicitors
  • Australia, United Arab Emirates, United Kingdom
  • November 3 2014

Termination is a serious step and is never one to be taken lightly. It is important that determination provisions are followed precisely. If a


Financial services update vol. 10, issue 21
  • Winston & Strawn LLP
  • United Kingdom, USA
  • June 15 2015

Daniel Sibears, Executive Vice President for Regulatory Operations at the Financial Industry Regulatory Authority (“FINRA”), gave a speech at a


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


UBS AG (London branch) & Anor v Kommunale Wasserwerke Leipzig GMBGH 2014 EWHC 3615
  • Clyde & Co LLP
  • United Kingdom
  • November 20 2014

In a judgment handed down on 4 November 2014, Mr Justice Males considered arguments concerning bribery and conflict of interest and held UBS was