Financial regulatory investigations

Latest

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  • FSA market abuse cases Restricted access

    Article

    Last Reviewed: 20 January 2012 / Submitted: 20 January 2012

    This article sets out the key market abuse decisions by the FSA under the market abuse regime pre and post 01 July 2005.

  • FSA Financial Crime Guide Restricted access

    Article

    Last Reviewed: 06 October 2011 / Submitted: 06 October 2011

    A report on the FSA draft regulatory guide for authorised firms entitled `Financial Crime: A guide for firms`.

  • Calling for a bank run: a new criminal offence under Dutch law? Restricted access

    Article

    Last Reviewed: 05 October 2011 / Submitted: 05 October 2011

    A look at the Dutch bill that proposes to make a public call for a “run” on a bank a criminal offence.

  • Episode 185: Bribery FSA and the Willis case

    Video Podcast

    Submitted: 08 August 2011

    Simmons & Simmons partner Richard Sims talks to colleague Charles Mayo about the implications of the recent Willis fine by the FSA and the implications for both FSA regulated and non regulated businesses.

  • Willis: a familiar message, but a new audience? Restricted access

    Article

    Last Reviewed: 29 July 2011 / Submitted: 29 July 2011

    The FSA has imposed its largest fine yet for inadequate systems and controls to counter corruption: with the Bribery Act now in force, the lessons extend beyond the regulated sector.

  • In the Courts Restricted access

    Article

    Last Reviewed: 10 April 2012 / Submitted: 07 June 2011

    A forward looking schedule of finance sector cases currently in the courts.

  • Wiretap evidence, the FSA and insider dealing Restricted access

    Article

    Last Reviewed: 23 May 2011 / Submitted: 23 May 2011

    May 2011`s conviction in New York of Raj Rajaratnam for insider trading was a landmark for US law enforcement. One of the keys to the DoJ`s success was its use of wiretap evidence, ie the covert monitoring and recording of live telephone conversations. This article considers the position regarding the use of such evidence in the UK.

  • UK Financial Markets Litigation schedule Restricted access

    Article

    Submitted: 01 March 2011

    A schedule of finance sector cases currently at the pre-trial stage.

  • Nederland FI Sector Autumn Legal Update 2010 Restricted access

    Conference

    Submitted: 18 November 2010

    Op donderdag 18 november gaf Simmons & Simmons tijdens de Autumn legal update een overzicht van de laatste juridische ontwikkelingen die relevant zijn voor de financiële sector.

  • Compliance en risk management bij beslagen onder banken en verzekeraars Restricted access

    Seminar

    Submitted: 18 November 2010

    In deze presentatie wordt ingegaan op recente ontwikkelingen op het gebied van compliance bij beslag onder financiële instellingen. Onderwerpen die aan bod zullen komen zijn onder meer de risico's van banken en verzekeraar bij een beslag ten laste van een cliënt, de snelheid waarmee actie moet worden ondernomen en de verplichtingen die vallen onder het beslag.

1 to 10 of 46