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Results: 1-10 of 220

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


Corporate crime update - 21 March 2013 - Spain
  • Herbert Smith Freehills LLP
  • Spain
  • March 21 2013

The Spanish Minister of Economy and Competition has submitted a draft bill that modifies the legal regime applicable to credit institutions. The


FCA rejects calls for increased transparency on S.166 reviews
  • Herbert Smith Freehills LLP
  • United Kingdom
  • August 8 2013

The FCA responded this week to industry feedback requesting greater transparency in relation to its use of section 166 'skilled person' reviews. As


The FCA's financial crime priorities
  • Herbert Smith Freehills LLP
  • United Kingdom
  • August 16 2013

The Financial Conduct Authority ("FCA") recently published two documents which provide additional information about its current supervisory and


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


Corporate Crime Update July 2013 - United Kingdom
  • Herbert Smith Freehills LLP
  • United Kingdom
  • July 16 2013

The City of London police have announced a new police unit to be launched to tackle intellectual property crime and online piracy. The Intellectual


Market abuseinsider dealingFSA enforcement
  • Herbert Smith Freehills LLP
  • European Union, United Kingdom
  • December 5 2012

The FSA has published two final guidelines as follows: FG1220 - anti-bribery and corruption systems and controls; and FG1221 - banks' defences against financial crime


FSA publishes draft amendments to investment management regulations folowing AIJ scandal
  • Herbert Smith Freehills LLP
  • Japan
  • December 5 2012

Japan's FSA launched a review of existing regulation and government supervision of Japan's asset management sector, following the recent AIJ Investment Advisors Co. scandal, in which AIJ's President was indicted for fraud after it was revealed that AIJ hid pension fund losses of up to $1.4 billion over a nine-year period


Corporate Crime Update - September 2015 - Hong Kong
  • Herbert Smith Freehills LLP
  • Hong Kong
  • September 17 2015

On 31 July 2015, the Hong Kong Monetary Authority (HKMA) announced that it has taken disciplinary action against the State Bank of India, Hong Kong


Australian financial institutions accused of being complicit in PNG graft
  • Herbert Smith Freehills LLP
  • Australia, Papua New Guinea
  • December 5 2012

It is reported that Sam Koip, chairman of Papua New Guinea's corruption task force, has accused Australian financial institutions of being complicit in graft and corruption by turning a blind eye to money being redirected through Australia