FCA fires warning shot over market soundings and insider trading
The UK FCA's Market Watch 75 has published observations on market soundings, voicing concern about potential insider trading.
Overview
Rules in This Collection
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Latest News
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FCA outlines market abuse prevention best practice at CFD firms
Regulator's granular observations useful to other market participants in order to ensure that their surveillance approach meets expectations.
FCA provides more advice on insider lists
Accurate lists that include personal information are required in the UK in order to fully comply with MAR.
Latest News
More on MAR
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Stockholm Nasdaq fined $9.6m over regulatory violations
Regulator Finansinspektionen issues remark and fine over insider trading and unauthorized trading concerns.
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10 key things market participants should know about the EU REMIT Review
Assessing amendments to the regulation on wholesale market integrity and transparency.
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New regulation will reinforce market abuse surveillance in the energy market
A new law aims to protect against market abuse manipulation and reinforce market surveillance. We asked experts in the energy market for their views.
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Concerns over complete venue coverage and FCA 'name and shame' approach at compliance roundtable
Risk acceptance and supervisory visits also discussed at Global Relay’s quarterly roundtable in London.
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Education is key in tackling market abuse, City & Financial Summit is told
Our second report from the City & Financial Summit summarizes what practitioners say about developments in market manipulation enforcement.
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€1.2m fine from Central Bank of Ireland provides lessons on how not to run a surveillance framework
Irish stockbroking firm Goodbody fined for breaching MAR obligations.
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"We need to work smarter" says FCA enforcement chief
Therese Chambers outlined new enforcement strategy to speed up investigations and clarified new enforcement publicity proposals.
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Organised crime active in equity markets according to the FCA
The regulator draws attention to the risks with the release of this guidance, coinciding with arrests in London.