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US Federal Appeals Court vacates insider trading convictions of hedge fund traders
The US Court of Appeals for the Second Circuit in United States v. Newman, 13-1837 (2d Cir. Dec. 10, 2014), vacated the convictions of two former hedge …
Financial System Inquiry - Final Report
The Financial System Inquiry (FSI), chaired by David Murray AO, yesterday released its Final Report, which has proposed some significant changes for the …
Irreconcilable differences? Bank directors, shareholders and regulators
Those tasked with governing UK banks have always faced difficulties in balancing competing interests. This stems in part from the fact that banks …
Hong Kong Market Misconduct Tribunal imposes a 4 year ban on Tiger Asia and Mr Hwang
On 7 October 2014, the Hong Kong Market Misconduct Tribunal (MMT) made “cold shoulder orders” and “cease and desist orders” against New …
Herbert Smith Freehills launches new legal guide to "Financial Services Regulation in Asia Pacific"
Herbert Smith Freehills officially launched its new legal guide to "Financial Services Regulation in Asia Pacific" on 9 October 2014 in Hong Kong …
Corporate Crime Update – October 2014
Welcome to the October 2014 edition of our corporate crime update - our round-up of developments in relation to corruption, money laundering, fraud, …
UK: Senior Managers, certification and conduct rules: a new regulatory framework for individuals in banking
The final report of the Parliamentary Committee on Banking Standards criticised not just the "firewall of accountability" around senior individuals …
Hong Kong: SFC supervisory briefing session – summary of key issues
On 2 September 2014, the SFC held its first ever Supervisory Briefing Session (“Session”) to share with market participants their major findings and …
UK: FCA publishes feedback on its thematic review of the use of dealing commission
Investment managers will be aware that the FCA has been holding discussions with the industry and conducting a thematic supervisory review (between …
Australia: Practical steps to maintain privilege when communicating with non-legal advisers
The recent Federal Court decision in Asahi Holdings (Australia) Pty Ltd v Pacific Equity Partners Pty Limited (No 4) [2014] FCA 796 highlights the …
The new EU market abuse and inside information regime – ESMA consults on draft implementing measures
ESMA has published two Consultation Papers setting out proposed draft secondary measures under the Market Abuse Regulation ("MAR"). These ESMA …
The new EU market abuse and inside information regime - an overview
The new Market Abuse Regulation has been published in the Official Journal and is directly applicable in EU countries from 3 July 2016. The …
Showing 12 out of 23 results
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