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Results: 1-10 of 156

Regulator expects to sanction preference share issuers
  • Herbert Smith Freehills LLP
  • Spain
  • October 10 2012

The Spanish National Securities Market Commission expects to impose sanctions on six out of ten banks and savings banks that issued preference shares between 2009 and 2011 due to malpractice in the trading of those financial products


Market abuseinsider dealingFSA enforcement
  • Herbert Smith Freehills LLP
  • United Kingdom
  • October 10 2012

The Wheatley Review of LIBOR, which was commissioned by HM Treasury to review the London Inter-Bank Offered Rate, has issued its final report


The Regulatory Enforcement and Sanctions Bill may give FSA new enforcement powers and encourage it to use temporary cessation as a sanction
  • Herbert Smith Freehills LLP
  • United Kingdom
  • October 31 2007

In May 2007, the Cabinet Office and the Better Regulation Executive issued a consultation on a draft Regulatory Enforcement and Sanctions Bill (the “Bill”


Contentious issues facing financial services institutions in Asia - key themes for 2008
  • Herbert Smith Freehills LLP
  • China, Hong Kong, Japan
  • May 8 2008

Financial institutions operating in Asia are facing a growing number of contentious issues


SEC
  • Herbert Smith Freehills LLP
  • United Kingdom
  • January 21 2011

According to various Wall Street news sources the SEC is exploring the relationship between Sovereign Wealth Funds and American financial funds and in particular the SEC is wanting to know if private equity companies, banks and other financial corporates are violating bribery laws in their efforts to win contracts with government investment funds


FATF: identifying and responding to the threat of high-risk jurisdictions
  • Herbert Smith Freehills LLP
  • Global
  • November 17 2010

The Financial Action Task Force (FATF) has published a webpage on how it identifies and responds to the threat of high-risk jurisdictions


JMLSG publishes Part III of its money laundering guidance
  • Herbert Smith Freehills LLP
  • United Kingdom
  • November 23 2010

The Joint Money Laundering Steering Group (JMLSG) has published the final version of Part III of its money laundering guidance for the UK financial sector


Margaret Cole's speech on fighting financial crime
  • Herbert Smith Freehills LLP
  • United Kingdom
  • November 12 2010

The FSA has published a speech by Margaret Cole, director of enforcement and financial crime at the FSA, on the new coalition's reform of the institutional arrangements for the supervision of UK financial market activity


Money laundering controls in overseas jurisdictions
  • Herbert Smith Freehills LLP
  • United Kingdom
  • November 12 2010

HM Treasury has published a statement on Money Laundering Controls in Overseas Jurisdictions


FATF publishes consultation on reviewing global standards for combating money laundering
  • Herbert Smith Freehills LLP
  • Global
  • November 23 2010

The FAFT has published a consultation paper on its global standards for combating money laundering and terrorist financing (the Recommendations