Wed. Jun 3rd, 2020

Planet Compliance

Innovation & Regulation in Finance

FCA publishes CP15/35 on the implementation of the Market Abuse Regulation

2 min read

The FCA has published a consultation document, in which it sets out proposals for the necessary changes to the FCA Handbook required to implement the new Market Abuse Regulations (EU MAR) to seek feedback on these proposals and also invite comments on the different options for implementation the regime offers EU Member States in two areas.

This consultation paper should be of interest to any firm or individual that directly or indirectly deals in, or any firm that issues, any financial instruments:

  • admitted to trading on a regulated market or for which a request for admission to trading on such a market has been made
  • traded on a multilateral trading facility (MTF), admitted to trading on an MTF or for which a request for admission to trading on an MTF has been made
  • traded on an organised trading facility (OTF)
  • not admitted to trading on one of those venues, but the price or value of which depends on or has an effect on the price or value of an financial instruments.

This includes any transaction, order or behaviour concerning any financial instruments referred to above irrespective of whether or not such transaction, order, or behaviour takes place on a trading venue. This consultation paper will also be of interest to emission allowance market participants (EAMPs), and any person discharging managerial responsibilities within issuers or EAMPs or any person closely associated with them.

The consultation is open until 4 February 2016.

FCA CP15/35 statement

Leave a Reply

Your email address will not be published.

This site uses Akismet to reduce spam. Learn how your comment data is processed.

PlanetCompliance © 2019. All rights reserved. | Newsphere by AF themes.