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Get Shorty: Europe’s Crackdown on Short Selling (Westlaw Business)
By Christopher Elias, (Westlaw Business) Radical changes to Europe’s system of financial regulation are under way and with them a harmonisation of securities rules as Europe turns a corner on the...
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Reputation risk may outweigh fines in UK financial regulator enforcements...
By Joanne Wallen (Complinet) Jan. 25 – British firms continue to be referred to enforcement despite the best intentions of the Financial Services Authority’s thematic reviews and credible deterrence...
View ArticleUK plan for early notice of insider-trading probes draws criticism
By Peter Elstob LONDON, Feb. 18 (Complinet) – UK regulatory lawyers have united in their concerns about giving the new Financial Conduct Authority the power to make insider dealing and other...
View ArticleUK financial regulatory changes sharpen accountability of senior managers
By Susannah Hammond LONDON, March 18 (Complinet) The new UK financial regulatory architecture is taking shape. The new bodies, their responsibilities and reporting lines are currently being consulted...
View ArticleCOLUMN: British bankers give up payment-protection appeal – the implications
By Adam Samuel, Thomson Reuters Accelus contributor. The opinions expressed are his own. LONDON, May 13 (Thomson Reuters Accelus) – The British Bankers’ Association left it until the day before the...
View ArticleFirms must prepare for UK approved persons grilling
Joanne Wallen LONDON, May 31 (ThomsonReuters Accelus) Corporate executives and directors in Britain must be prepared for increasingly rigorous interviews by the Financial Services Authority to be...
View ArticlePERSONAL VIEW: Reflections on the successful prosecution of Tom Wilmot, UK...
By Alex Davidson – the views expressed are his own. LONDON, Aug. 26 (Thomson Reuters Accelus) – Earlier this week Tomas Wilmot was sentenced at Southwark Crown Court to nine years in jail for...
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Rogue traders will always pose risk to compliance controls, says industry
By Martin Coyle and Alex Robson LONDON/NEW YORK, Sept. 16 (Thomson Reuters Accelus) – The $2 billion rogue trading incident at UBS demonstrates that determined individuals will always be able to...
View ArticleEinhorn/Greenlight Capital fine highlights duty for investors to seek...
By Martin Coyle and Alex Robson LONDON/NEW YORK, (Thomson Reuters Accelus) – A decision by the UK Financial Services Authority (FSA) to fine hedge fund manager David Einhorn and his Greenlight Capital...
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The Einhorn effect? How the FSA’s authority might be undermined by vocal...
By Peter Elstob LONDON/NEW YORK, Feb. 23 (Thomson Reuters Accelus) – Britain’s Financial Services Authority (FSA) could see its credibility undermined as individuals with deep pockets choose not to...
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