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This week in securities litigation (week ending May 2, 2014)
  • Dorsey & Whitney LLP
  • United Kingdom, USA
  • May 1 2014

Chair Mary Jo White testified before Congress this week. Her testimony focused on the budget, reviewing the recent work of the agency. The Commission

The business common sense approach
  • Hogan Lovells
  • United Kingdom
  • January 31 2013

In a recent decision (Gemini (Eclipse 2006-3) Plc and The Bank of New York Mellon v Danske Bank and BNY Mellon Corporate Trustee Services (2012

Financial services regulation - Europe - 25 April 2014
  • DLA Piper LLP
  • United Kingdom, European Union
  • April 25 2014

EU law permits national courts to refer questions on the interpretation of EU legislation to the European Court of Justice (“ECJ”). In a digital

This week at the UK regulators - 6 January 2014
  • Clifford Chance LLP
  • United Kingdom
  • January 6 2014

The FCA has remained relatively active over the festive period, imposing a penalty of over £1.8 million on an insurance Brokerage firm for failings

Regulator gets its Tiger in HK
  • RPC
  • Hong Kong, India, United Kingdom
  • January 8 2014

Readers of my previous blogs (dated 30 April, 23 May and 18 July 2013) will have followed the Securities and Futures Commission's pursuit of insider

Investment management newsletter - Spring 2014
  • Kaye Scholer LLP
  • Germany, United Kingdom, USA
  • May 7 2014

At the end of 2013, the US Securities and Exchange Commission implemented changes to Rule 506 under Regulation D (Regulation D) promulgated under

Financial advice and market downturns
  • Kennedys Law LLP
  • United Kingdom
  • October 22 2012

Court of Appeal overturns controversial High Court decision on causation in claim by consumer concerning negligent financial advice

Complaints Commissioner finds FSA maladministration not direct cause of losses
  • Dentons
  • United Kingdom
  • October 26 2012

The Complaints Commissioner has found that, despite a serious administrative error by FSA, this was not the direct cause of a claimant’s loss

Can i sue or be sued for losses suffered in the global financial crisis?
  • Bircham Dyson Bell
  • United Kingdom
  • October 25 2012

You may have asked yourself or your advisers that question

Equities trader receives 2 year sentence for disclosing inside information
  • Herbert Smith Freehills LLP
  • United Kingdom
  • March 8 2013

Paul Milsom, a senior equities trader, has been sentenced to two years' imprisonment for improper disclosure of inside information about forthcoming