We use cookies to customise content for your subscription and for analytics.
If you continue to browse Lexology, we will assume that you are happy to receive all our cookies. For further information please read our Cookie Policy.

Search results

Order by: most recent most popular relevance



Results: 1-10 of 32

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


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


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


US SEC files civil action charging NATCO with violations under FCPA
  • Herbert Smith Freehills LLP
  • USA
  • June 3 2010

The US Securities and Exchange Commission (SEC) settled its civil enforcement action against NATCO Group Inc (NATCO) earlier this year


Harmonising the regulation of market abuse in Europe
  • Herbert Smith Freehills LLP
  • European Union
  • October 21 2011

The European Commission has published its proposals for a Regulation on insider dealing and market manipulation ("the Regulation") and a Directive on criminal sanctions for intentional market abuse ("the Directive"


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


SEC charges attorney in insider trading scheme
  • Herbert Smith Freehills LLP
  • USA
  • January 6 2010

The Securities and Exchange Commission (SEC) has charged lawyer, Brien. P. Santarlas for disclosing non-public information about a proposed corporate acquisition relating to one of the firm's clients in exchange for kickbacks


FSA returns £270,000 to victims of share fraud
  • Herbert Smith Freehills LLP
  • United Kingdom
  • March 10 2010

The FSA has recovered approximately £270,000 as a result of action taken against companies involved in a share fraud


FSA imposes record fine against individual for market abuse
  • Herbert Smith Freehills LLP
  • United Kingdom
  • March 10 2010

The FSA has fined Mehmet Sepil £967,005 for dealing in the shares of UK listed Heritage Oil Plc (Heritage) on the basis of inside information