Topical Issues (Financial Services & Funds)

03-Mar-2010  |  Finance, Financial Services & Funds, Litigation & Dispute Resolution

FSA’s fine means Lehman cases are on the cards

Last Thursday, the FSA fined RSM Tenon Financial Services £700,000 for failings in its advice and sales processes relating to ... by Laurence Lieberman more

02-Mar-2010  |  Financial Services & Funds, Litigation & Dispute Resolution

International asset freezing: the US and UK perspectives

This article examines the remedies available from the US and UK courts to prevent the dissipation of funds pending the ... by Laurence Lieberman more

27-Nov-2009  |  Financial Services & Funds

Largest ever fine levied by the AIM Disciplinary Committee

The AIM Disciplinary Committee ("ADC") has levied its largest ever fine (£600,000) against Regal Petroleum PLC for a ... by Paul Glass, Shane Gleghorn more

11-Nov-2009  |  Finance, Financial Services & Funds, Litigation & Dispute Resolution

Structured Product Misselling-Avoiding the Fallout

Another product under scrutiny Structured products (specifically Lehman-backed) are the latest in a long line of products ... by Clive Cunningham, Shane Gleghorn, Laurence Lieberman, Jonathan Rogers more

07-Oct-2009  |  Financial Services & Funds, Insurance

FSA's latest post-Aon findings; anti-bribery and corruption controls for insurance brokers

Following up on the £5.25m fine it imposed on Aon in January this year for failure to manage anti-bribery and corruption ... by James Crabtree, Peter Kempe, Anthony Menzies, Jonathan Rogers more

21-Sep-2009  |  Financial Services & Funds, Litigation & Dispute Resolution

The Wider Implications Process and Lehman Brothers backed structured products

The Wider Implications process is an alternative form of redress to the courts system that can help investors to recover some or ... by Laurence Lieberman more

19-Mar-2009  |  Financial Services & Funds

Firm-commissioned reports - A comparison of the FSA and SEC treatment of privilege

by Laurence Lieberman more

21-Jan-2009  |  Competition, EU & Trade, Financial Services & Funds

Clarification of the FSA disclosure requirements under the UK Listing Authority Rules

Until recently, it has been unclear whether persons discharging managerial responsibilities ("PDMRs" - eg, directors of ... by Clive Cunningham, Tim Stocks more

13-Jan-2009  |  Financial Services & Funds

Largest financial crime related fine imposed by the FSA to date

On 6 January 2009, the FSA published a Final Notice of a fine of £5.25million against Aon Ltd, the largest financial crime ... by James Crabtree, Paul Glass, Shane Gleghorn, Jonathan Rogers more

15-Sep-2008  |  Commercial, Competition, EU & Trade, Construction & Engineering, Corporate, Employment & Pensions, Finance, Financial Services & Funds, Intellectual Property, Inward Investment, Litigation & Dispute Resolution, Private Client, Projects, Real Estate, Reconstruction & Corporate Recovery, Shipping & Transport

Companies Act 2006 - Guide to October 2008 changes

On 1 October 2007, the new Companies Act 2006 came into force.  How do these changes affect your company?  October 2008 ... by Andrew Telling more

04-Aug-2008  |  Financial Services & Funds, Insurance

Amendments to Part 7 of FSMA 2000 ('Control of Business Transfers')

by Lucy Cowan, James Crabtree more

10-Jul-2008  |  Corporate, Financial Services & Funds, Insurance

FSA Regulation of sellers of connected travel insurance

by James Crabtree more

22-May-2008  |  Climate Change & Renewable Energy, Commercial, Competition, EU & Trade, Construction & Engineering, Corporate, Employment & Pensions, Finance, Financial Services & Funds, Insurance, Intellectual Property, Inward Investment, Life Sciences & Healthcare, Litigation & Dispute Resolution, Media & Entertainment, Private Capital, Projects, Real Estate, Reconstruction & Corporate Recovery, Shipping & Transport, Tax, Technology

"All change please!" - Sweeping new UK legislation on unfair commercial practices comes into force on 26 May 2008

by Timothy Pinto more

01-Oct-2007  |  Commercial, Competition, EU & Trade, Construction & Engineering, Corporate, Employment & Pensions, Finance, Financial Services & Funds, Intellectual Property, Inward Investment, Litigation & Dispute Resolution, Private Client, Projects, Real Estate, Reconstruction & Corporate Recovery, Shipping & Transport, Tax

The Companies Act 2006 - Headline changes

On 1 October 2007, the new Companies Act 2006 comes into force. How do these changes affect your company? Find a brief overview ... by Deborah Cloake, Andrew Telling more

01-Oct-2007  |  Commercial, Competition, EU & Trade, Construction & Engineering, Corporate, Employment & Pensions, Finance, Financial Services & Funds, Intellectual Property, Inward Investment, Litigation & Dispute Resolution, Private Client, Projects, Real Estate, Reconstruction & Corporate Recovery, Shipping & Transport, Tax

The Companies Act 2006 - Guide to October 2007 changes

On 1 October 2007, the new Companies Act 2006 comes into force. How do these changes affect your company? by Deborah Cloake, Andrew Telling more

01-Oct-2007  |  Commercial, Competition, EU & Trade, Construction & Engineering, Corporate, Employment & Pensions, Finance, Financial Services & Funds, Intellectual Property, Inward Investment, Litigation & Dispute Resolution, Private Client, Projects, Real Estate, Reconstruction & Corporate Recovery, Shipping & Transport, Tax

The Companies Act 2006 - Guide to April 2008 changes

On 1 October 2007, the new Companies Act 2006 comes into force. How do these changes affect your company? April 2008 changes. by Deborah Cloake, Andrew Telling more

01-Oct-2007  |  Commercial, Competition, EU & Trade, Construction & Engineering, Corporate, Employment & Pensions, Finance, Financial Services & Funds, Intellectual Property, Inward Investment, Litigation & Dispute Resolution, Private Client, Projects, Real Estate, Reconstruction & Corporate Recovery, Shipping & Transport, Tax

The Companies Act 2006 - Directors' Duties

On 1 October 2007, the new Companies Act 2006 comes into force. How do these changes affect your company's Directors' ... by Deborah Cloake more

01-Jul-2005  |  Corporate, Financial Services & Funds

Employee share schemes and the Prospectus Directive

The Prospectus Directive came into force across the EEA on 1 July 2005, implementing significant changes to the way securities ... more