News & Analysis as of August 31, 2025

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The Power of Visuals in International Arbitration – IMS Insights Podcast Episode 63
Hodgson Russ's Tim Noonon on the Groundbreaking New York Residency Tax Case Gaied v. NYS Tax Appeals Tribunal

Executive directors “knowingly concerned” in bank’s breach of the UK listing rules

A&O Shearman on 6/26/2025

The UK Upper Tribunal (Tax and Chancery) has upheld the Financial Conduct’s Authority’s (FCA) decision to take action against two former executives of a bank for being “knowingly concerned” in the bank’s breach of the listing...more

Making a Profit Is Not Illegal: Capital Markets Tribunal Dismisses Enforcement Proceedings Finding Borrowed Free Trading Shares...

Davies Ward Phillips & Vineberg LLP on 11/12/2024

The Ontario Capital Markets Tribunal (Tribunal) recently dismissed enforcement proceedings brought against several respondents by the Ontario Securities Commission (Commission) in Cormark Securities Inc (Re). The Commission...more

The FCA’s Commitment to “test and Use” Its Powers Pays Off in FCA v Bluecrest Capital

BCLP on 10/8/2024

The recent decision by the Court of Appeal in FCA v BlueCrest Capital Management [2024] EWCA Civ 1125 reverses the Upper Tribunal’s decision in BlueCrest Capital Management (UK) LLP v FCA [2023] UKUT 00140 (TCC) (which we...more

UK Upper Tribunal overrules FCA finding that Julius Baer employees lacked integrity

A&O Shearman on 7/3/2023

The UK Upper Tribunal (Tribunal) has overruled Financial Conduct Authority (FCA) decisions that three former employees of Julius Baer International Limited (JBI) lacked integrity and should be prohibited. The Tribunal’s...more

Ten FCA and PRA enforcement predictions for 2023 – Part 2

A&O Shearman on 3/27/2023

This pair of posts focuses on ten less-obvious enforcement predictions that we think will shape the UK financial services investigations and enforcement landscape during 2023 and beyond. Originally published in on...more

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