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Results: 1-10 of 2,340

Equitas Ltd v Horace Holman & Co Ltd broker’s duty to keep proper records
  • Mills & Reeve LLP
  • United Kingdom
  • June 12 2007

This judgment on costs is of interest because of the guidance it gives as to what will be expected of a broker in providing information to a cedant so as to allow the cedant to collect unpaid balances


Good news for the insurance industry
  • RPC
  • United Kingdom
  • July 13 2007

In a recent decision on two linked cases (Bunney v Burns Anderson Plc & Anor and Cahill v Timothy James & Partners Limited), the High Court held that the Financial Ombudsman Service may not make a binding award requiring a redress payment in excess of £100k


Investment funds e-bulletin
  • Herbert Smith Freehills LLP
  • European Union, United Kingdom
  • July 3 2007

The ECJ has given its decision in the case of JP Morgan Fleming Claverhouse Investment Trust plc v Commissioners of HM Revenue and Customs (Case C-36305), a test case brought alongside the Association of Investment Trust Companies (now the Association of Investment Companies


FSA enquiry evidence no longer remains confidential
  • RPC
  • United Kingdom
  • July 9 2007

A Court of Appeal ruling has caused uproar and may have jeopardised the FSA’s capacity for gathering information


SEC brings action against UK hedge fund (HF)
  • Sutherland Asbill & Brennan LLP
  • United Kingdom, USA
  • July 10 2007

The SEC settled enforcement actions against London-based hedge fund adviser GLG Partners, L.P. for illegal short selling in connection with 14 public offerings


And finally
  • Squire Patton Boggs
  • United Kingdom
  • August 15 2007

According to a recent ECJ preliminary ruling in the case of JP Morgan Fleming Claverhouse Investment Trust PLC v HMRC, an investment trust was classified as falling within the term “special investment fund” and consequently should be exempt from paying VAT on investment manager fees


Court of Appeal signals cooperation with SEC to combat investment fraud
  • Locke Lord LLP
  • United Kingdom
  • February 3 2009

The English Court of Appeal has shown its readiness to cooperate with foreign regulators in this case, the US Securities and Exchange Commission by agreeing to freeze allegedly suspect assets


FSA secures over £1 million for victims of share scam
  • Norton Rose Fulbright LLP
  • United Kingdom
  • February 16 2009

The FSA has obtained a court order requiring the owner and sole director of a UK company, Bayshore Nominees Limited to pay compensation to investors who were victims of a share scam operated by overseas entities


FSA wins appeal over financial promotions
  • Dentons
  • United Kingdom
  • February 20 2009

FSA has won an appeal against a solicitors' firm that approved promotions for unauthorised overseas companies that allowed them to sell shares worth around 21 million to 670 UK investors


Enforcing bad leaver provisions - Greck v. Henderson Asia Pacific Equity Partners
  • Freshfields Bruckhaus Deringer LLP
  • United Kingdom
  • January 28 2009

This Scottish case addresses the enforceability of so-called 'bad leaver' terms and indirect non-compete restrictions in the carry partnership of a private equity fund which affected an investment manager's right to retain his carry interests after he had resigned from his employment