Managing Regulatory Risk in High Court Litigation – FSA Prohibitions and Disciplinary Proceedings – 11 KBW

Posted June 7th, 2012 in financial regulation, news by sally

“The first point to note about the Verrier prohibition is that it was based squarely on findings made in litigation which was not criminal proceedings nor related directly to regulated activities. This may have been a ‘first’ for the FSA; it is not unprecedented in other regulated sectors. The FSA’s interest was perhaps predictable on the extreme facts of the Tullett litigation. This talk considers the risks from civil litigation more generally for FSA-regulated firms and persons and how their legal advisers can help to identify and manage those risks.”

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11 KBW, 1st June 2012