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Results: 1-10 of 34

FCA orders listed company to compensate investors following market abuse
  • Herbert Smith Freehills LLP
  • United Kingdom
  • March 31 2017

The Financial Conduct Authority (FCA) has ordered that Tesco plc and Tesco Stores Limited (together, Tesco) pay compensation to certain Tesco


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


US and Chinese financial intelligence units sign memorandum of understanding to facilitate information sharing
  • Herbert Smith Freehills LLP
  • China, USA
  • December 17 2015

Following high-level meetings in September which set the objective of strengthening bilateral regulatory, supervisory and law enforcement


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"


Insider traders ordered to pay £180,000 in costs and disgorgement of profits
  • Herbert Smith Freehills LLP
  • United Kingdom
  • September 3 2009

Former General Counsel of TTP Communications Christopher McQuoid, and his father-in-law, James William Melbourne have been ordered to pay £180,000 in costs and disgorgement of profits


Hong Kong SFC urges intermediaries to review compliance with AMLCFT requirements following identification of deficiencies
  • Herbert Smith Freehills LLP
  • Hong Kong
  • February 16 2017

On 26 January 2017, the Securities and Futures Commission (SFC) issued a circular (with Appendix 1, Appendix 2 and Appendix 3) highlighting its


MAR_bitesize
  • Herbert Smith Freehills LLP
  • European Union, United Kingdom
  • July 4 2016

On 3 July 2016, the EU Market Abuse Regulation (MAR) (EU 5962014) replaced the Market Abuse Directive (MAD) and the current UK regimes for market


AIFMs, UCITS managers and proprietary trading firms: EU MAR surveillance and STORs requirements apply
  • Herbert Smith Freehills LLP
  • European Union
  • June 1 2016

With just under 5 weeks to go before the Market Abuse Regulation comes into application across the EU, the European Securities and Markets Authority


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