‘Enforcement 40’ for 2020
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By Securities Docket on July 29, 2012, 2:38 pm
UK court hands down sentences the longest and most complex insider trading case the FSA has pursued to date.
By Securities Docket on June 26, 2012, 12:03 pm
FSA fines against individuals total nearly GBP 20 million in 2011-12 fiscal year, more than in previous eight years combined.
By Securities Docket on May 17, 2012, 1:18 pm
Two senior officials at SEC among those considered to be potential candidates.
By Securities Docket on April 3, 2012, 2:34 pm
JP Morgan Cazenove exec resigns after receiving £450,000 fine for market abuse.
By Securities Docket on February 24, 2012, 1:52 pm
All three heads of the main UK agencies charged with tackling white-collar crime will depart in 2012.
By Securities Docket on February 15, 2012, 7:32 pm
During Cole’s seven years, FSA made transition from “light touch” to “be frightened.”
By Securities Docket on February 6, 2012, 9:23 pm
Three recent enforcement cases show differences in US and UK regulation.
By Securities Docket on January 25, 2012, 6:33 pm
FSA fines David Einhorn and Greenlight Capital $11 million in insider trading matter.
By Securities Docket on October 13, 2011, 8:10 pm
Hector Sants meets up with Mary Schapiro to discuss topics such as cross-border enforcement cases, regulatory reform.