Market abuse & insider dealing

Latest

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  • FSA censure and fines for market abuse Restricted access

    Article

    Submitted: 16 April 2012

    An overview of the FSA’s censure and fining of Cattles Limited and Welcome Financial Services Limited for market abuse and breaches of the Listing Rules and the FSA’s Principles for Businesses and its fining and ban of two former directors for publishing misleading information and for being knowingly concerned in the other breaches.

  • The FSA’s £7.2m market abuse fine on Greenlight Capital and David Einhorn Restricted access

    Article

    Submitted: 27 January 2012

    The implications of the FSA's actions in particular in relation to the nature of inside information.

  • Market abuse: ESMA guidance on disclosure of information related to dividend policy Restricted access

    Article

    Submitted: 26 January 2012

    On 09 January 2012, ESMA published a Question and Answer paper which reminds issuers that they should consider any relevant information related to dividend payments and policies as inside information if that information is likely to have a significant effect on the price of an issuer’s shares or related derivatives or both.

  • FSA consultation on when disclosure of information by a broker amounts to market abuse Restricted access

    Article

    Last Reviewed: 06 February 2012 / Submitted: 01 November 2011

    A summary of the guidance the FSA is proposing to add to the Code of Market Conduct to deal with the passing of inside information by brokers.

  • Even more MAD: impact on company announcements, PDMRs and insider lists Restricted access

    Article

    Last Reviewed: 28 October 2011 / Submitted: 28 October 2011

    This briefing focuses on the changes proposed to the issuer announcement regime, transactions by persons discharging managerial responsibilities, insider lists and whistleblowing for UK companies.

  • Episode 195: MAD 2

    Video Podcast

    Submitted: 25 October 2011

    Simmons & Simmons partner Sarah Bowles talks to colleague Darren Fox about the implications of the EU Commission's legislative proposal for amendments to the Market Abuse Directive published on 20 October 2011.

  • Beyond MAD, the proposed Market Abuse Regulation and Directive on Criminal Sanctions Restricted access

    Article

    Last Reviewed: 21 October 2011 / Submitted: 21 October 2011

    Summary of the implications of the EU Commission`s legislative proposal for amendments to the Market Abuse Directive published on 20 October 2011.

  • Wiretap evidence, the FSA and insider dealing Restricted access

    Article

    Last Reviewed: 23 May 2011 / Submitted: 23 May 2011

    May 2011`s conviction in New York of Raj Rajaratnam for insider trading was a landmark for US law enforcement. One of the keys to the DoJ`s success was its use of wiretap evidence, ie the covert monitoring and recording of live telephone conversations. This article considers the position regarding the use of such evidence in the UK.

  • European Commission consultation on a revision of the Market Abuse Directive Restricted access

    Article

    Last Reviewed: 04 January 2011 / Submitted: 04 August 2010

    On 28 June 2010, the European Commission published a consultation on proposed changes to the Market Abusive Directive. The consultation considers extending the scope of the Directive, enhancing regulator enforcement powers and creating a `single rule book` across Member States.

  • Financial markets breakfast briefing series 2010: Market abuse and insider dealing: the latest developments Restricted access

    Seminar

    Submitted: 16 June 2010

    Regulators and prosecutors have been focusing their attention on market abuse and insider dealing. This session examines the latest developments in the UK and European legal regimes in this area, with a focus on recent cases and a look at where the regulators' attention is directed next.

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