Sentences with phrase «unauthorised trades»
The broker works with authorities to investigate the unauthorised trades.
https://www.moneysmart.gov.au/
In May last year, the FCA banned John Christopher Hughes «from performing any function in relation to any regulated activity in the financial services industry for failings related to the $ 2.3 billion unauthorised trading losses by another trader Kweku Adoboli.»
While in - house litigation counsel at UBS, being the first person in the in - house legal function to be called after the discovery of Kweku Adoboli's unauthorised trading in 2011.
advising UBS on an unauthorised trading incident in the investment bank that resulted in a loss of $ 2.3 billion — providing advice from the initial discovery of the incident, through internal and independent investigations, to the criminal trial and conclusion of regulatory enforcement action;
BTIG v Reiss (2011, Commercial Court) Acting for firm of agency brokers Breach of contract — losses arising from unauthorised trading
Adoboli also engaged in unauthorised trading on exchange traded index future positions.
In the early nineties he engaged in unauthorised trading which while initially profitable, soon ran into spectacular losses.
Not exact matches
Treasury Wine has launched legal action against Rush Rich for trade mark infringements exploiting the company's Penfolds brand, including the unauthorised use of Treasury's BEN FU trademark, which is the lettering and characters used in China for Penfolds.
The Cash Managed Trust account linked to your share trading account contains unauthorised transactions
Unauthorised use may also violate applicable laws (such as copyright and trade - mark laws) and applicable communications statutes and regulations.
We file and manage Starbucks» entire UK trade mark portfolio, provide UK brand clearance advice, and advise on trade mark opposition, infringement / passing off and copyright issues arising in the UK, including unauthorised use of the company name and logo.
The question before the court was whether the Office of Fair Trading (OFT) was permitted to investigate the fairness of bank charges levied for unauthorised overdrafts and other related charges under reg 6 (2) of the Unfair Terms in Consumer Contracts Regulations 1999 (SI 1999 / 2083)(the regulations).
In April this year judgment was handed down in the first part of the eagerly awaited test case brought by the OFT against the UK's leading high street banks seeking a ruling on the fairness of their unauthorised overdraft charges (Office of Fair Trading v Abbey National plc and others [2008] EWHC 875 (Comm), [2008] All ER (D) 349 (Apr)-RRB-.
Moreover, unauthorised disclosure of commercially sensitive information (eg, trade secrets) may qualify as a criminal offence.
Preferring instead to treat them as unauthorised fundraising, they are allowing exchanges like Coinone and Bithumb to trade,