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Legal,Tax & Compliance

Keydata founder seeks probe ban on FSA staff who saw e-mails
02/22/2012
Keydata administered 2.8 billion pounds ($4.42 billion) of assets when the FSA asked a court to place it into administration in 2009.
Scottish firm Biggart Baillie advises Rangers FC administration
02/22/2012
The news comes as the English football club Portsmouth FC have also applied to enter administration for the second time in recent years, amid growing concerns that football's financial bubble is about to burst.
FSA obtains interim injunction to halt unauthorised deposit-taker
02/22/2012
Assets belonging to both Mudge and Lewis have also been frozen.
FSA bans Ayrshire-based IFA over non-payment of £8K fees
02/22/2012
FSA bans Ayrshire-based IFA over non-payment of £8K fees
Dominique Strauss-Kahn questioned as 'pimp' suspect
02/22/2012
The 62-year-old ex-Socialist minister was seen as the frontrunner to replace Nicolas Sarkozy as president of France until his arrest last May on rape charges on a New York maid – later dropped.
U.K. Lawmaker Targets Bank Executives
02/22/2012
The Conservative Member of Parliament for Wycombe is hoping to attract cross-party support for a new bill that will force bank directors, already under pressure over the size of their bonuses, to take personal liability for any losses suffered under their
Garnier calls for IMA to reverse stance on fees
02/21/2012
HSBC Global Asset Management, Legal & General Investments and BlackRock have now joined Fidelity in calling for a new industry standard of fund fee disclosure which takes into account trading costs.
Iceland FSA head derides investigation into his fitness for job
02/21/2012
The regulator’s board will review Andersen’s letter today, said Chairman Adalsteinn Leifsson, in a Feb. 17 interview.
BBC pays £1.8million legal bill to help keep stars' pay confidential
02/20/2012
Critics claim the figure represents poor value for money and it has been suggested the National Audit Office (NAO) may investigate the issue.
Swissrisk Financial Systems - ready for FATCA
02/20/2012
In order to assist financial institutions to comply with this new legislation, Swissrisk Financial Systems, a Dion Global Solutions company, has developed ‘FATCA Gateway’
Santander fined £1.5m for structured product failings
02/20/2012
Santander acknowledges that it could have changed its product literature and training materials more quickly to reflect the FSCS position accurately.
Boiler room alert: share fraudsters return to target wealthy investors
02/17/2012
Private client investment managers are reporting that their clients are being targeted by bolier room scams.
Senior bankers caught up in film investment tax probe
02/17/2012
Three senior investment bankers have emerged as being among the 16 individuals arrested last week as part of an investigation into allegations of tax evasion involving film financing schemes.
FSA arrests LGIM employee in insider dealing investigation
02/17/2012
An employee of Legal & General Investment Management (LGIM) was arrested by the Financial Services Authority (FSA) last night as part of an investigation into alleged complex insider dealing.
Further arrest in FSA and Soca insider dealing case
02/17/2012
The searches and the arrest are the latest developments in a complex insider dealing investigation being carried out by the Financial Services Authority and the Serious Organised Crime Agency.
Closed UK hedge fund ordered to pay $76.8m
02/16/2012
Sweet ruled that Pentagon Capital and Chester must disgorge $38.4 million in improper profits on the trades. He imposed the same amount as an additional civil penalty.
Fraud agency under investigation in UK
02/16/2012
The review will focus on how Britain's main agency for hunting down major financial crimes and corruption goes about selecting and pursuing cases, a spokeswoman for the government's legal advisor said.
FSA fines ex-Merrill Lynch director £350k over Punch rights issue
02/16/2012
“By disclosing inside information, Osborne engaged in serious market abuse. His actions undermined the orderliness and integrity of the market and the high penalty reflects the seriousness of his breach. There should be no doubt about the FSA’
'Broke' HSBC worker told to repay £59 of £1million fraud
02/15/2012
Apart from the Renault Clio, the 23-year-old’s only other ‘realisable assets’ amounted to £109.21, prosecutor David Levy told the court, which included £100 for the car.
A German Pensioner Takes on Commerzbank
02/15/2012
The bank adds that the financial advisor "weighed all the advantages and disadvantages of the investment together with the client. That particularly involved the long duration of the investment. Irmgard Greiner decided after the extensive consultatio
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