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Australian High Court uling has implications for dual general counselcompany secretarial role
  • Herbert Smith Freehills LLP
  • United Kingdom
  • May 13 2012

Two recent decisions of the Australian High Court have significant corporate governance implications for companies subject to the Commonwealth Corporations Act 2001

Listing rules FSA fines company for breach of related party transaction rules
  • Herbert Smith Freehills LLP
  • United Kingdom
  • May 3 2012

The FSA has fined Exillon Energy, a premium-listed Isle of Man company, £292,950 for breaching the rules on related party transactions in LR 11 of the Listing Rules

FSA fines bank and its former MLRO for failure to comply with anti-money laundering requirements
  • Herbert Smith Freehills LLP
  • United Kingdom
  • May 31 2012

In May 2012 the FSA issued Final Notices fining Habib Bank AG Zurich (“Habib”) £525,000 for failure to take reasonable care to establish and maintain adequate anti-money laundering (“AML”) systems and controls and fining its former Money Laundering Reporting Officer (“MLRO”) Syed Hussain £17,500 for failure to take reasonable steps to ensure that Habib complied with relevant AML requirements

Product intervention: some thoughts on the FCA’s interactions with Europe
  • Herbert Smith Freehills LLP
  • European Union, United Kingdom
  • May 23 2012

As regulatory rules are increasingly made in Europe, within the UK, the new Financial Conduct Authority will move to becoming as Hector Sants put it a “supervisory arm” of Europe in relation to conduct issues