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Browse: Home / FSA

FSA

Ex-UBS Compliance Officer Charged With Insider Trading – Bloomberg

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 […]

Posted in Global, Top | Tagged FSA, UK

The FCA will never trump the FSA’s incompetence – FTAdviser.com

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, […]

Posted in Global | Tagged FSA

The end of the FSA. But what can we expect from the new regime? -- Nabarro LLP

The end of the FSA. But what can we expect from the new regime? — Nabarro LLP

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.

Posted in Global | Tagged FSA, UK, Web Watch

In Ammann Insider Trading Case in UK, Karma Strikes Back

In Ammann Insider Trading Case in UK, Karma Strikes Back

By Securities Docket on December 14, 2012, 11:56 am

Bad karma come back with equal force in Ammann insider trading case.

Posted in Criminal, Global, Top | Tagged FSA, Insider Trading, Karma, UK

Barclays Names Ex-Regulator as Compliance Chief

Barclays Names Ex-Regulator as Compliance Chief

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.

Posted in Industry, People, Top | Tagged FSA, Lawyers, UK

UBS Fined for ‘Seriously Defective’ Risk Systems

UBS Fined for ‘Seriously Defective’ Risk Systems

By Securities Docket on November 26, 2012, 1:43 pm

FSA aserts that UBS’ risk control systems were “seriously defective.”

Posted in Global, Industry, Top | Tagged FSA, Internal Controls

Awkward! Insider Trading Trial of UK Banker's Two Ex-Girlfriends Gets Underway

Awkward! Insider Trading Trial of UK Banker’s Two Ex-Girlfriends Gets Underway

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.

Posted in Global, Top | Tagged FSA, Insider Trading, UK

U.K. Financial Services Authority Charges Four in High-Stakes Insider Trading Probe

U.K. Financial Services Authority Charges Four in High-Stakes Insider Trading Probe

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.

Posted in Global, Top | Tagged FSA, Insider Trading, UK

FSA Obtains Record £1.5m Confiscation Order Against Former Banker and Wife

FSA Obtains Record £1.5m Confiscation Order Against Former Banker and Wife

By Securities Docket on August 22, 2012, 11:54 pm

FSA announces £1,534,000 confiscation orders against husband and wife.

Posted in Global, Top | Tagged FSA, Insider Trading

FSA uses controversial 'snooper's charter' in fight against crime

FSA uses controversial ‘snooper’s charter’ in fight against crime

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.

Posted in Global, Top | Tagged FSA

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