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5 results for: market abuse regulation
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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...
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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...
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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...
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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)...
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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...