‘Enforcement 40’ for 2020
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By Securities Docket on June 8, 2017, 9:15 am
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 […]
By Securities Docket on April 9, 2013, 7:38 am
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, […]
By Securities Docket on March 18, 2013, 7:57 am
What to expect on April 1, 2013, when the Financial Services Authority will be abolished and replaced by a new regulatory regime.
By Securities Docket on December 14, 2012, 11:56 am
Bad karma come back with equal force in Ammann insider trading case.
By Securities Docket on December 12, 2012, 10:08 am
Former CEO of UK’s Financial Services Authority to join bank next year as head of compliance.
By Securities Docket on November 26, 2012, 1:43 pm
FSA aserts that UBS’ risk control systems were “seriously defective.”
By Securities Docket on October 19, 2012, 6:57 pm
Insider trading trial of not one but two girlfriends of former Mizuho International Plc investment banker Thomas Ammann gets underway in UK.
By Securities Docket on October 2, 2012, 11:22 am
Arrests follow March 2010 raids at 16 addresses in London, the southeast and Oxfordshire as part of Operation Tabernula.
By Securities Docket on August 22, 2012, 11:54 pm
FSA announces £1,534,000 confiscation orders against husband and wife.
By Securities Docket on August 21, 2012, 2:33 pm
“Directed surveillance” allows FSA investigators to assume an identity or form a relationship to gather information for a criminal probe.