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Corporate crime update - December 2012
Please click here for the November 2012 edition of our global corporate crime update. Jurisdictions covered in this month’s update include: United …
UK regulatory reform: should the new regulators be given power to investigate possible offences under s.352 of FSMA?
Lord Turner recently informed the Chairman of the Treasury Committee that the FSA was unable to use its powers to extend an internal FSA leak inquiry to …
US SEC's record-setting $276 million insider trading case
The US Securities and Exchange Commission (SEC) announced that it had charged CR Intrinsic Investors LLC (a hedge fund advisory firm), Mathew …
UK FSA consults on new capital regime for Self-Invested Personal Pension (SIPP) operators
In light of the failure and near failure of a number of SIPP operators since 2007, the FSA has concluded that its current prudential requirements …
EBA Guidelines on assessment of the suitability of members of management bodies of credit institutions and their key function holders
The European Banking Authority (EBA) has today published Guidelines on the assessment of the suitability of members of the management body and key …
HMT reissues direction to cease business with Iranian banks
Daniel Hudson, Nichola Peters and Jeremy Sher comment on HM Treasury's ("HMT") decision to reissue its direction to UK financial institutions …
Suitability and systems: UK FSA fines wealth management firm as further thematic review work continues
Following on from its initial thematic work on wealth management firms, the FSA has fined Savoy Investment Management Limited (Savoy) £412,000 for …
The meaning of "information" for the purposes of the Australian insider trading offence
Elizabeth Macknay and Matthew J. Keogh review the High Court of Australia's recent decision, Mansfield v the Queen [2012] HCA 49 regarding the meaning of …
Verifying changes to customer data, particularly when supplied by third parties
For firms that use data matching processes, a recent data protection case suggests that firms may wish to consider the robustness of …
Dear CEO: please confirm your asset management firm has identified and mitigated the risk of conflicts of interest between it and its customers
Conflicts of interest between asset managers and their customers: Identifying and mitigating the risks is a 'Dear CEO' publication in which the FSA …
New EU Short selling regime now in force
The new EU short selling regime came into force on 1 November 2012. The regime, which is established by the EU Short Selling Regulation (No …
Government gives green light to Deferred Prosecution Agreements
In our earlier briefing we reported on the Government's consultation to introduce Deferred Prosecution Agreements ("DPAs") – a new …
Showing 1 680 out of 1 844 results
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