‘Enforcement 40’ for 2020
Our Sponsors
Join Us On LinkedIn
Join the Securities Litigation and Enforcement Group on LinkedInEx-UBS Compliance Officer Charged With Insider Trading – Bloomberg
Fabiana Abdel-Malek, 34, and Walid Choucair, 38, were each charged with five counts of insider dealing between June 2013 and June 2014, a court clerk said by phone Wednesday, reading charges filed by the Financial Conduct Authority. Abdel-Malek, who has a law degree, had worked as a compliance officer at UBS since 2007, according to […]
The FCA will never trump the FSA’s incompetence – FTAdviser.com
It is surely inconceivable that the Financial Conduct Authority (FCA) could do worse than the Financial Services Authority (FCA). The catalogue of things that went wrong on the FSA’s watch is as thick as a phonebook. If you don’t accept the suggestion that, “just like everyone else”, the FSA couldn’t have anticipated the financial crisis, […]
The end of the FSA. But what can we expect from the new regime? — Nabarro LLP
What to expect on April 1, 2013, when the Financial Services Authority will be abolished and replaced by a new regulatory regime.
In Ammann Insider Trading Case in UK, Karma Strikes Back
Bad karma come back with equal force in Ammann insider trading case.
Barclays Names Ex-Regulator as Compliance Chief
Former CEO of UK’s Financial Services Authority to join bank next year as head of compliance.
UBS Fined for ‘Seriously Defective’ Risk Systems
FSA aserts that UBS’ risk control systems were “seriously defective.”
Awkward! Insider Trading Trial of UK Banker’s Two Ex-Girlfriends Gets Underway
Insider trading trial of not one but two girlfriends of former Mizuho International Plc investment banker Thomas Ammann gets underway in UK.
U.K. Financial Services Authority Charges Four in High-Stakes Insider Trading Probe
Arrests follow March 2010 raids at 16 addresses in London, the southeast and Oxfordshire as part of Operation Tabernula.
FSA Obtains Record £1.5m Confiscation Order Against Former Banker and Wife
FSA announces £1,534,000 confiscation orders against husband and wife.
FSA uses controversial ‘snooper’s charter’ in fight against crime
“Directed surveillance” allows FSA investigators to assume an identity or form a relationship to gather information for a criminal probe.