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CLMR Working Paper 12-5: Shooting Fish in a Barrel: Sophisticated Investor Protection in the Aftermath of the Global Financial Crisis
In a landmark ruling, the Australian Federal Court has found that monetary capacity alone cannot serve as a proxy for the sophistication of investors transacting in complex financial instruments.
Originally Published:
Monday, October 1, 2012
Financial Services Authority Speech: Initiative to Outlaw Flawed Sales Bonuses that Encourage Mis-selling
Martin Wheatley, managing director of the Financial Services Authority (FSA) and chief executive officer designate of the Financial Conduct Authority (FCA), announced that he wanted to see an end to mis-selling created by sales incentives.
Originally Published:
Wednesday, September 5, 2012
CLMR Working Paper 12-2: So foul and fair a day: the prosecution of Standard Chartered, state-federal relations and the return of Banquo’s ghost
The State Government of New York has re-emerged as a pivotal broker of financial regulation.
Originally Published:
Saturday, September 1, 2012
CLMR Working Paper 12-3: Enforcing Compliance or Privileging Unaccountability? The Efficacy and Dangers of Deferred Prosecutions in the Corporate Sector
The difficulties associated with managing and surviving a hostile operating environment has weakened commitment to ethical operating standards.
Originally Published:
Saturday, September 1, 2012
Financial Services Authority Fines Barclays £59.5 million for Significant Failings in Relation to LIBOR and EURIBOR
The Financial Services Authority (FSA) has fined Barclays Bank Plc (Barclays) £59.5 million for misconduct relating to the London Interbank Offered Rate (LIBOR) and the Euro Interbank Offered Rate (EURIBOR).
Originally Published:
Wednesday, June 27, 2012