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Results: 1-10 of 2,474

Capital markets practice: news round-up issue No. 42014
  • Squire Patton Boggs
  • European Union, United Kingdom
  • August 4 2014

In Ian Hannam v FCA, the Upper Tribunal found that H, then Global Co-Head of UK Capital Markets at JP Morgan Cazenove, engaged in market abuse by


The importance of clarity in financial adviser engagement letters
  • CMS Cameron McKenna
  • United Kingdom
  • August 1 2014

During the process of negotiating a financial adviser's engagement letter it is all too easy to gloss over uncertainty or ambiguity in a desire to


Financial Regulatory Developments 1 August - Financial Conduct Authority (FCA)
  • Dentons
  • United Kingdom
  • August 1 2014

FCA has fined Lloyds Bank and Bank of Scotland (BoS) £105 million for failings relating to LIBOR and other benchmarks. The fines cover: £70 million


Update on the EU's proposed financial transactions tax
  • Dechert LLP
  • European Union, United Kingdom
  • June 24 2014

The Court of Justice of the European Union (CJEU) recently issued a decision rejecting the UK government's initial legal challenge against the


Eight things we now really know about market abuse
  • Clifford Chance LLP
  • United Kingdom
  • June 9 2014

On 28 May, the UK Upper Tribunal handed down its long-awaited judgment in relation to the FCA's case against Ian Hannam for market abuse. The


Ian Hannam - much needed clarity on market abuse?
  • DLA Piper LLP
  • United Kingdom
  • June 24 2014

Last month the Upper Tribunal (the "Tribunal") rejected an appeal by Ian Hannam ("Hannam") against the Financial Services Authority's ("FSA"


UK: FCA provisional decision to fine and ban former NED of financial firm for failing to disclose conflicts of interest
  • Herbert Smith Freehills LLP
  • United Kingdom
  • May 28 2013

The FCA has published a notice of its decision to fine a former non-executive director (NED) of two mutual societies £154,800, and to ban her from


Auditors of US listed China companies
  • RPC
  • China, United Kingdom, USA
  • February 4 2014

A US Securities and Exchange Commission (SEC) administrative law judge's finding that the Chinese affiliates of five international accounting firms


Fairfield Sentry Limited (in liquidation) v Migani
  • 24 Old Buildings Chambers
  • United Kingdom
  • May 21 2014

Documents in which the NAV of a fund had been stated to investors wishing to redeem their investment were 'certificates' and therefore binding on the


FSA update - 21 January 2013
  • Clifford Chance LLP
  • United Kingdom
  • January 21 2013

The FSA has (on 15 January) Imposed a financial penalty of £212,237 on Harbinder Panesar and Banned him from the financial Services industry. It has