The Financial Conduct Authority (FCA) has today fined Mark Taylor, a financial adviser, £36,285 and banned him for a period...
Insider Trading
The Financial Conduct Authority (FCA) today published a statement in relation to the conviction of two for insider dealing. In a...
The FCA today published its policy statement "PS16/13: Implementation of the Market Abuse Regulation". In this Policy Statement the FCA reports on...
And now for the grand finale, the last of the 7 market abuse offences: Distortion and misleading behaviour, which is...
Welcome to our sixth posts of this series that looks at the offence of Dissemination. Dissemination is defined as giving...
How do you follow an act like Manipulating Transactions from our last post of this series? Especially when Manipulating Devices...
The European Securities and Markets Authority (ESMA) has published an updated Questions and Answers (Q&A) on the common operation of...
Welcome to Part III of our series on the seven market abuse offences as we know them in the regulatory...
Part II of our series of the 7 Deadly Sins of Market Abuse looks at the offence of Improper Disclosure....
As described in our introductory article on Market Abuse (“What is Market Abuse?”) and the regulatory framework in the UK,...
The FCA has released a statement with regard to Damian Clarke, a former equities trader at Schroders Investment Management Limited, who...
The Financial Industry Regulatory Authority (FINRA) announced today that it has barred David Michael Gutman, a Vice President in the...
The European Securities and Markets Authority (ESMA) has opened today a public consultation on draft guidelines clarifying the implementation of...
As promised we are trying to shed some more light on the specifics of Market Abuse and have therefore started...
The Securities and Exchange Commission today announced that hedge fund manager Steven A. Cohen will be prohibited from supervising funds...
