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Results: 1-10 of 30

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


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


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"


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


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


SEC charges General Re Corporation for its role in AIG and Prudential accounting fraud
  • Herbert Smith Freehills LLP
  • USA
  • February 16 2010

The US Securities and Exchange Commission (SEC) has issued a complaint against General Re Corporation (Gen Re) for its involvement in assisting American International Group (AIG) and Prudential Financial Inc. with setting up sham transactions to manipulate their financial statements


IOSCO completes global framework to fight against cross-border market abuse
  • Herbert Smith Freehills LLP
  • Global
  • February 16 2010

The International Organisation of Securities Commissions (IOSCO) has announced that it has achieved its goal of having its eligible membership sign onto, or committed to sign, its Multilateral Memorandum of Understanding concerning Consultation, Cooperation and the Exchange of Information (MMOU


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