Showing 91 to 93 of 93 search results for regulatory and law enforcement.

91. Four building blocks of efficient capital markets

    Speeches Published: 01/02/2013 Last modified: 29/03/2013
    Speech by David Lawton, Director of Markets, FSA at the Practising Law Institute Conference

92. Tribunal upholds FSA decision to fine firm £8m for market abuse

    Press Releases Published: 28/01/2013 Last modified: 28/01/2015
    The Upper Tribunal (Tax and Chancery Chamber) has directed the Financial Services Authority (FSA) to fine Swift Trade, a non-FSA authorised Canadian company with global operations, £8m for market abuse. The Tribunal described this as being “as

93. FSA fines Aon Limited £5.25m for failings in its anti-bribery and corruption systems and controls

    Press Releases Published: 08/01/2009 Last modified: 08/11/2016
    The Financial Services Authority (FSA) has today fined Aon Limited (Aon Ltd) £5.25 million for failing to take reasonable care to establish and maintain effective systems and controls to counter the risks of bribery and corruption associated with