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Results: 1-10 of 34

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 imposes ban and fine for 'mis-marking'
  • Herbert Smith Freehills LLP
  • United Kingdom
  • March 10 2010

The FSA has banned a former employee of a London-based fund manager, and fined him £140,000


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


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"


FCA orders listed company to compensate investors following market abuse
  • Herbert Smith Freehills LLP
  • United Kingdom
  • March 31 2017

The Financial Conduct Authority (FCA) has ordered that Tesco plc and Tesco Stores Limited (together, Tesco) pay compensation to certain Tesco


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


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


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


FSA bans trader for mis-marking
  • Herbert Smith Freehills LLP
  • United Kingdom
  • April 13 2010

The FSA has banned Alexis Stenfors, a former proprietary trader, from performing any regulated functions in relation to any regulated activity, on the grounds that he is not a fit and proper person