Subject to Inquiry

Subject to Inquiry


Government Investigations and White Collar Litigation Group

Tag Archives: FSA

Anti-Bribery and Corruption, Enforcement and Prosecution Policy and Trends, Financial Institution Regulation, Securities and Commodities

Going Inside for Insider Trading

It is always assumed that sentences in the US for any crime are significantly higher than they are in the UK, but nowhere is this more starkly exemplified than in white collar crime.  The recent sentence of 9 years in prison for Mathew Martoma for insider trading is the latest proof of the truth of… Continue Reading
Anti-Bribery and Corruption, Anti-Money Laundering, Compliance, Enforcement and Prosecution Policy and Trends, Financial Institution Regulation

The Financial Services Authority continues its thematic reviews into anticorruption compliance – now it is the turn of asset managers

So far, since the Bribery Act came into force on 1st July 2011, the largest fines have been dished out by the FSA, which regulates the financial services sector in the UK, rather than by the courts… Continue Reading
Anti-Bribery and Corruption, Compliance

British Bankers’ Association guidance on the Bribery Act

The British Bankers' Association (BBA) has published its own guidance for the banking sector as to how to comply with the Bribery Act 2010. This guidance (entitled "Guidance on compliance: Practical implementation issues for the banking sector") is intended to cover both the requirements of the Act and Financial Services Authority (FSA) regulatory obligations and supplements, rather than replaces, the Ministry of Justice's (MOJ) existing Guidance and that from financial services regulators and prosecutors.… Continue Reading

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