Regulatory enforcement

Latest

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  • The Pottage case: implications for senior management Restricted access

    Article

    Submitted: 15 May 2012

    The Upper Tribunal ruled against the FSA in its recent case against John Pottage, however the case is a reminder of the FSA's determination to take cases against senior managers of authorised firms for alleged business failings in their areas of responsibility.

  • Handling cross border regulatory investigations Restricted access

    Seminar

    Submitted: 14 May 2012

    In this seminar, our regulatory specialists examine the issues arising for financial institutions in navigating cross border transactions, and share their experiences of advising in this area.

  • Another fund manager found culpable of insider dealing Restricted access

    Article

    Submitted: 11 May 2012

    The Hong Kong Market Misconduct Tribunal has found a fund manager to be culpable of insider dealing after he traded in shares while in receipt of price sensitive information about an anticipated share placement.

  • Wenn der Insolvenzverwalter den Darlehensnehmer Restricted access

    Article

    Submitted: 09 May 2012

    Am 1. März 2012 sind wichtige Änderungen im Insolvenzrecht in Kraft getreten. Diese betreffen insbesondere den Prozess der Insolvenzverwalterauswahl.

  • When the insolvency administrator replaces the borrower Restricted access

    Article

    Submitted: 09 May 2012

    On 01 March 2012 important amendments to German insolvency law came into effect. These amendments affect in particular the procedure for selecting the insolvency administrator.

  • FSA fine for breach of Listing Rules on related party transactions and Listing Principle 2 Restricted access

    Article

    Submitted: 03 May 2012

    An overview of the final notice imposing a fine on Exillon Energy plc which is the first fine levied by the FSA for a breach of the related party transaction rules and also the first fine imposed on a company for a failure to establish and maintain the systems and controls necessary to comply with the Listing Rules.

  • CITIC Pacific - privilege cat goes back in the bag Restricted access

    Article

    Submitted: 23 April 2012

    An update on a recent Hong Kong case on legal advice privilege, looking at a new Court of Appeal judgment on waiver.

  • Coutts: a sign of things to come? Restricted access

    Article

    Submitted: 05 April 2012

    Coutts bank has been fined £8.75m for failings in its anti-money laundering systems for Politically Exposed Persons, as the FSA steps up enforcement action.

  • FSA publishes review of banks’ anti bribery systems and controls Restricted access

    Article

    Submitted: 05 April 2012

    The FSA has criticised investment banks for their approach to anti bribery and corruption measures and launched a consultation on proposed changes to its regulatory guide.

  • SFC enforcement powers - sharper claws Restricted access

    Article

    Submitted: 27 February 2012

    This briefing discusses what lies ahead for the rest of the year in terms of the SFC's enforcement strategy in relation to market misconduct, in light of the recent Tiger Asia appeal.

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