Jan 17, 2020 New Year, new resolutions for senior exec training and development as the FCA issues its first fine against a PDMR for failure to report dealings under MAR By Dan Lavender We consider the implications of the Market Abuse Regulations (MAR) for senior executives in PLCs, following the FCA’s fine of a...
Mar 11, 2019 Report claims the UK is much less effective at prosecuting financial crime than the USA By Neill Blundell Max Hobbs The global anti-corruption NGO "Corruption Watch" has published a critical report comparing the UK's fight against economic crime...
Feb 15, 2019 Market abuse requires a dynamic response to a changing risk profile By Macfarlanes Some choice words from the FCA's Director of Market Oversight, Julia Hoggett, in a speech discussing market abuse. New technology will...
Sep 27, 2018 FCA warnings on MAR surveillance practices By Macfarlanes In its latest newsletter on market conduct and transaction reporting issues (Market Watch 56), the Financial Conduct Authority (FCA)...
Aug 16, 2018 FCA scrutinises market abuse risk management at asset managers By Macfarlanes The FCA is reportedly sending questionnaires and making supervisory visits to asset management firms, focusing on their market abuse...