Martyn Dodgson, senior investment banker, and Andrew Hind, a qualified chartered accountant, have both been convicted of conspiring to insider deal between November 2006 and March 2010. Mr Dodgson obtained information about transactions through his position and asked Mr Hind to deal in the relevant shares. The defendants put in place elaborate strategies designed to […]

FCA Inducements and Conflicts of interest thematic review: key findings – April 2016 – Read more in link below: http://bit.ly/1qCHizQ

The FCA has highlighted that there is uncertainty about whether individuals in charge of legal functions within firms are subject to approval under the Senior Managers Regime. The FCA has stated that it intends to consult and that “firms that have sought to make decisions in good faith about whether or not approval is needed, on the […]

The Proceeds of Crime Act 2002 requires you to submit a Suspicious Activity Report to the National Crime Agency if you know or suspect that a person is engaged in, or attempting, money laundering. The Money Laundering Regulations 2007 apply to banks, building societies, credit unions. They also apply to other firms undertaking certain financial […]