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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


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"


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


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


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


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"


FSA issues letter to warn against boiler room fraud
  • Herbert Smith Freehills LLP
  • United Kingdom
  • June 3 2010

The FSA has sent a letter to approximately 38,000 individuals across the UK to warn them that they could be the target of boiler room share fraud


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


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