Legal briefings from the world's leading law firms
Financial Services Regulation
Found 216 legal briefings
Record FSA fine for ex-CEO's fraud - what can be learnt?
On 31 January 2012, the FSA published findings of fraud and the imposition of a fine of £2,867,000 against Ravi Shankar Sinha, the former chief executive officer of JC Flowers' FSA-regulated European private equity business. This briefing details the case in full and outlines the key messages.
Law Firm: Travers Smith | Published: 03 February 2012 | Practice Area: Regulation and Compliance
Internal employee fraud - its impact on business and how to combat it
The National Fraud Authority puts the cost of fraud to the UK economy at millions of pounds every year. This briefing reveals the alarming statistics on fraud, outlines the potential impact of employee fraud on a business and provides a series of anti-Fraud measures that a company can implement.
Law Firm: Eversheds | Published: 31 January 2012 | Practice Area: Financial Crime and Fraud
Rating: 
2 people found this useful
Wall-crossings and market abuse - a cautionary tale?
The recently published David Einhorn / Greenlight Capital Inc FSA Decision Notices demonstrate that wall-crossings are again in the regulatory spotlight. This briefing considers the practical implications of the two related FSA Decision Notices, in the context of wall-crossings and market abuse.
Law Firm: Macfarlanes LLP | Published: 30 January 2012 | Practice Area: Regulation and Compliance
Rating: 8 people found this useful
How does your board ensure it is compliant with all criminal regulatory requirements?
The last few years have seen a range of different issues involving regulatory compliance, not just to do with product safety but also to do with regulatory obligations on the operations of a business. This briefing outlines what businesses need to be compliant with and how they can achieve it.
Law Firm: Eversheds | Published: 19 January 2012 | Practice Area: Corporate Governance
Rating: 4 people found this useful
Regulatory risk update: Dodd-Frank Whistleblower Program attracts tips from outside US
The Dodd-Frank whistleblower provisions have now been in force for almost four months, with nearly 10 per cent of the 334 tips received coming from non-US workers. DLA Piper outline a range of practical steps which non-US companies and US companies with foreign operations can take to minimise risk.
Law Firm: DLA Piper | Published: 20 December 2011 | Practice Area: Financial Crime and Fraud
A guide to criminal law enforcement in Austria
This article, courtesy of Schoenherr and Global Legal Group, offers a practical insight into business crime in Austria. The article uses a question and answer format to offer a comprehensive overview on all aspects of criminal law enforcement and court procedure.
Law Firm: Schoenherr | Published: 07 December 2011 | Practice Area: Financial Crime and Fraud
Financial services update: protected cell regime for UK OEICS; "toxic" traded life policy investments
The weekly financial services update includes details on a new protected cell regime for UK open-ended investment companies; the FSA's warning against "toxic" traded life policy investments; FSA fines hedge fund compliance officer £14,000; and a recent ESMA speech on AIFMD, UCITS and PRIPS.
Law Firm: Macfarlanes LLP | Published: 02 December 2011 | Practice Area: Regulation and Compliance
Is South Africa losing the war on corruption?
In this article, ENS's Steven Powell argues that the UK Bribery Act has many aspects which South African authorities should draw on to bolster their anti-bribery initiatives. By doing this, Powell explains how there would be the potential to create a zero-tolerance culture to bribery.
Law Firm: ENS (Edward Nathan Sonnenbergs) | Published: 25 November 2011 | Practice Area: Corporate Governance
Rating: 3 people found this useful
Life after breach: it wasn't me! Dealing with vicarious liability and employee fraud
In this, the fourth and final part of the 'life after breach' mini series, Wragge & Co look at the principle of vicarious liability and the circumstances in which an employer can be liable for acts committed by its employees during the course of their employment.
Law Firm: Wragge & Co | Published: 24 November 2011 | Practice Area: Warranties
Rating: 4 people found this useful
Banged up abroad: how to stay the right side of China's anti-bribery laws
Foreign companies doing business in China often have limited knowledge of China's anti-bribery laws. This article explores the methods of calculating the value of gifts, donations, and gratuitous payments and how cumulative calculations may yield serious risks of falling within criminal sanctions.
Law Firm: King & Wood | Published: 23 November 2011 | Practice Area: Financial Crime and Fraud
Rating: 1 person found this useful
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