Tuesday 25th June 2019
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Comsure operates in:the UK, Jersey, Guernsey

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Guernsey – new Conduct of Business Rules

Guernsey – The Licensees (Conduct of Business) Rules, 2009 – Explanatory Note and Feedback on Consultation.  The Guernsey Financial Services Commission, in conjunction with a Working Party including practitioners from the investment business sector, has been preparing new Conduct of Business Rules mandatory for all entities licensed under the Protection of Investors (Bailiwick of Guernsey) […]

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Top solicitor jailed for cash theft

A former deputy coroner and high-profile probate solicitor has been jailed for stealing more than £43,000 from a charitable trust. Alan Benstock, 51, a former deputy coroner for West Yorkshire and former vice-chairman of the Law Society’s probate section, was sentenced to 22 months for thefts that occurred while he was working at Wakefield firm […]

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Former stockbroker fined for market abuse

The FSA has fined Alexei Krilov-Harrison £24,000 for using inside information about an AIM-traded company to encourage retail customers to buy that company’s shares. Mr Krilov-Harrison knew that the AIM-traded company had entered into a collaboration agreement with a household name and that this information, once announced, would lead to an increase in share price. […]

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FSA fines former Pacific Continental Securities stockbroker

FSA fines former Pacific Continental Securities stockbroker for using inside information On 17 November 2009, the FSA published the Final Notice it has issued to Alexei Krilov-Harrison, a former stockbroker at Pacific Continental Securities UK Ltd (PCS). The FSA has fined Mr Krilov-Harrison £24,000 for breaching sections 118(3) and 123(1)(b) of the Financial Services and […]

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Regal Petroleum plc publicly censured and fined £600,000

Regal Petroleum plc publicly censured and fined £600,000 – The London Stock Exchange has issued a public censure and fine of £600,000 against Regal Petroleum plc (Regal). These sanctions were imposed by the AIM Disciplinary Committee for a number of serious breaches of the AIM Rules with regard to its oil exploration wells in the […]

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FSA fines and bans former UBS client adviser

FSA fines and bans former UBS client adviser for helping to conceal unauthorised trading losses On 13 November 2009, the FSA published the Final Notice it has issued to Andrew Cumming, a former client adviser in the international wealth management business at the London branch of UBS AG (UBS). (see http://www.fsa.gov.uk/pubs/final/cumming.pdf) Mr Cumming helped to […]

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FSA to be granted additional powers to punish white collar crime:

FSA to be granted additional powers to punish white collar crime: A raft of new measures designed to give regulators more power in tackling city crime are to be unveiled in the Queen’s Speech this week. The FT reports today that Chancellor Alistair Darling will propose strengthening the FSA’s power to punish individuals and banks […]

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FATF issues Follow-Up Report on United Kingdom

FATF issues Follow-Up Report on United Kingdom – The Financial Action Task Force [FATF] has published its Mutual Evaluation Fourth Follow-Up Report on Anti-Money Laundering and Combating the Financing of Terrorism, with respect to the United Kingdom. Readers who need this resource for reference purposes can find it here: http://www.fatf-gaci.org/dataoecd/44/8/44048060.pdf FacebookTwitterLinkedinemail

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