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More FSA criminal investigation into insider dealing
  • Dentons
  • United Kingdom
  • January 25 2013

The police have arrested five people in connection with an insider dealing investigation led by FSA. No charges have yet been filed against them


Financial Regulatory Developments 7 February - Financial Conduct Authority (FCA)
  • Dentons
  • United Kingdom
  • February 7 2014

FCA has published a policy statement confirming its new rules which: ban new referral payments from a discretionary investment manager (DIM) to an


Financial Regulatory Developments 7 February - European Commission (Commission)
  • Dentons
  • European Union, USA
  • February 7 2014

The Commission has published its first EU anti-corruption report. The report looks at each Member State's laws and practices, analysing how well they


Complying with sanctions laws: JMLSG takes action
  • Dentons
  • United Kingdom
  • June 21 2010

Regulators are keeping up the pressure on financial institutions to comply with all anti-financial crime laws


FSA fines firm and MLRO
  • Dentons
  • United Kingdom
  • May 7 2010

FSA has fined Alpari (UK) Ltd £140,000 and fined its former MLRO £14,000 for failing to have in place adequate AML systems and controls


IMA comments on FATF Standards
  • Dentons
  • Global
  • January 14 2011

IMA has commented on FATF's consultation on its review of its Standards


AIC publishes Bribery Act guidance
  • Dentons
  • United Kingdom
  • June 3 2011

AIC has published some informal general guidance on compliance with the Bribery Act


Commission anticipates MiFID and MAD revisions
  • Dentons
  • European Union
  • October 14 2011

The Commission’s latest agenda suggests it will put forward its proposals for the revised Markets in Financial Instruments Directive (MiFID 2) and for changes to the Market Abuse Directive (MAD) on 20 October


BBA responds on Financial Crime Guide
  • Dentons
  • United Kingdom
  • September 30 2011

BBA’s response to FSA’s consultation on the Financial Crime Guide raises a concern over the timing of the publication


Three sentenced to jail for £27.5 million boiler room scam
  • Dentons
  • United Kingdom
  • August 25 2011

FSA announced that three men have been sentenced to a total of 19 years in jail for boiler room fraud following a long-running and detailed investigation by FSA, the City of London Police and Eurojust