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Financial Services Authority › Insider Trading

The Financial Services Authority is an independent financial regulatory body within the United Kingdom. The FSA establishes standards for most financial services markets, exchanges, and firms and pursues legal... more +
The Financial Services Authority is an independent financial regulatory body within the United Kingdom. The FSA establishes standards for most financial services markets, exchanges, and firms and pursues legal action against parties failing to comply with those standards.   less -
Orrick - Finance 20/20

Former Futures Trader at JP Morgan Cazenove is Sentenced to 4 Years Imprisonment for Insider Dealing

Orrick - Finance 20/20 on

Following a prosecution brought by the FSA, Richard Joseph was found guilty at Southwark Crown Court of six counts of conspiracy to deal as an insider. Joseph received inside information from a print room manager at JP Morgan...more

Orrick, Herrington & Sutcliffe LLP

Orrick's Financial Industry Week in Review - January 22, 1013

Orrick, Herrington & Sutcliffe LLP on

In This Issue: *Financial Industry Developments - CFPB Final Rule on Mortgage Servicing Standards - Joint Rule on Appraisals for Higher-Priced Mortgage Loans - CFPB Final Rule on Written Appraisals - SEC...more

Orrick - Finance 20/20

Charges Brought Against Former Trader and Former Broker Following FSA Insider Dealing Investigation

Orrick - Finance 20/20 on

On January 16, Paul Milsom, a former trader at the investment management arm of Legal & General, and Graeme Shelley, a former broker at Novum Securities, appeared at Westminster Magistrates Court charged with insider dealing....more

Orrick - Finance 20/20

Insider Dealing

Orrick - Finance 20/20 on

On December 13, the FSA published a press release announcing that Thomas Ammann, a former investment banker and FSA Approved Person at Mizuho International plc, had been sentenced to 2 years and 8 months imprisonment for two...more

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