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Results: 1-10 of 29

Anti-money laundering and anti-bribery systems and controls at asset management firms: FCA thematic review
  • Herbert Smith Freehills LLP
  • United Kingdom
  • December 1 2013

In October 2013, the Financial Conduct Authority (FCA) published the much-anticipated report of its thematic review into anti-money laundering (AML


Uberoi sentencing hearing
  • Herbert Smith Freehills LLP
  • United Kingdom
  • January 6 2010

Matthew Uberoi and his father, Neel Uberoi, were sentenced to 12 and 24 months' imprisonment respectively, for insider dealing on 10 December 2009


Corporate crime update September 2013 - United Kingdom
  • Herbert Smith Freehills LLP
  • United Kingdom
  • September 20 2013

On 8 August 2013 the Financial Conduct Authority ("FCA") issued a Final Notice against Guaranty Trust Bank (UK) Limited ("GTBUK"), the fifth in a


FCA confirms how it will use new powers to publicise warning notices
  • Herbert Smith Freehills LLP
  • United Kingdom
  • October 21 2013

On 15 October 2013, the FCA published its Policy Statement (PS139) on the publication of information about warning notices under its new powers (see


Market abuse: ECJ holds in Daimler case that steps preceding a decision may constitute inside information
  • Herbert Smith Freehills LLP
  • European Union
  • June 29 2012

In its judgment in the case of Markus Geltl v Daimler AG C-1911 yesterday, the European Court of Justice provided clarification on the requirement that information must be "of a precise nature" to be "inside information"


Market abuse ECJ holds in Daimler case that steps preceding a decision may constitute inside information
  • Herbert Smith Freehills LLP
  • European Union
  • June 28 2012

The European Court of Justice has today given judgment in the case of Markus Geltl v Daimler AG C-1911, holding that information about intermediate steps taken in the context of a protracted process leading towards a future event or circumstance can be precise, and therefore “inside information”; and a “reasonable expectation” that an event will occur means that there is a realistic prospect, not a high probability, that it will occur


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


Terrorist financingsanctionsmoney laundering
  • Herbert Smith Freehills LLP
  • United Kingdom
  • October 10 2012

Following a consultation on proposed changes to the Money Laundering Regulations 2007 (S.I. 20072156), HM Treasury has published: The Money Laundering (Amendment) Regulations 2012 (20122298) and explanatory memorandum; and The Terrorism Act 2000 and Proceeds of Crime Act 2002 (Business in the regulated sector) (No. 2) Order 2012 (20122299) and explanatory memorandum


Fraud, bribery and corruption
  • Herbert Smith Freehills LLP
  • United Kingdom, USA
  • May 4 2012

David Green CB QC has started his role as the new Director of the SFO


FSA bans trader for mis-marking
  • Herbert Smith Freehills LLP
  • United Kingdom
  • April 13 2010

The FSA has banned Alexis Stenfors, a former proprietary trader, from performing any regulated functions in relation to any regulated activity, on the grounds that he is not a fit and proper person