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Results: 1-10 of 32

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


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


FSA commences criminal proceedings against former iSOFT directors
  • Herbert Smith Freehills LLP
  • United Kingdom
  • February 16 2010

The FSA has commenced criminal proceedings against four former directors, Patrick Cryne, Stephen Graham, Timothy Whiston and John Whelan of iSOFT Group Plc for the offence of conspiracy to make misleading statements, contrary to section 397 (1) (a) and (2) of the Financial Services and Markets Act 2000 and section 1 of the Criminal Law Act 1977


Spector Photo Group and Van Raemdonck v Commissie voor het Bank-, Financie- en Assurantiewezen (CBFA)
  • Herbert Smith Freehills LLP
  • European Union
  • February 16 2010

The European Court of Justice (ECJ) has published its judgment in the case of Spector Photo Group and Van Raemdonck v Commissie voor het Bank-, Financie- en Assurantiewezen (CBFA


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


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


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


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