Market abuse & insider dealing


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  • Extension of SMCR: Response to Consultation Papers Restricted access


    Submitted: 08 November 2017

    Watch our recent webinar on-demand - Hear specific practical and legal issues from industry as well as our thoughts on the SMCR consultation papers as we cover the main points we have made to the FCA in our response (including relating to insurers).

  • Extension of SMCR webinar series Restricted access


    Submitted: 24 October 2017

    This webinar series covers a broad range of topics around the Extension of the Senior Management and Certification Regime (SMCR). Topics covered include the response to Consultation Papers, identifying senior managers and related challenges, identifying Certification staff and related challenges, preparing for Conduct Rules and the duty of responsibility in practice.

  • Extension of SMCR: Identifying senior managers and related challenges


    Event date: 22 November 2017

    This webinar looks at the steps firms within the extension of SMCR should take to identify their senior managers, with a particular focus on tricky issues such as extraterritoriality, how to manage your existing SIF population, statements of responsibility, the duty of responsibility and how to take reasonable steps, and how to create clear reporting lines.

  • Extension of SMCR: Identifying Certification staff and related challenges


    Event date: 29 November 2017

    This webinar covers the categories of staff which fall within the ambit of the certification regime under the draft rules, identifying some of the obvious and less obvious categories including your CF30 customer facing function and their managers.

  • Extension of SMCR: Duty of responsibility in practice


    Event date: 13 December 2017

    This webinar gives a practical overview of the duty of responsibility under SMCR, including by reference to existing guidance from the FCA as well as guidance on the senior managers Conduct Rules.

  • Extension of SMCR: Preparing for Conduct Rules


    Event date: 06 December 2017

    This webinar looks at SMCR Conduct Rules and what firms should do now in preparation for these, including identifying how the application of the Conduct Rules affects many aspects of business and HR processes in particular.

  • The FCA, Tesco and the civil market abuse regime


    Submitted: 10 April 2017

    ​The FCA has issued a final notice in relation to market abuse by Tesco and for the first time exercised its power to require restitution for those affected.

  • FCA consultation on amendments to rules on delaying disclosure of inside information


    Submitted: 30 November 2016

    An overview of the FCA's consultation paper (CP16/38) with its proposed amendments to DTR 2.5 (delaying disclosure of inside information) to make its rules consistent with ESMA's Guidelines on delay in the disclosure of inside information.

  • ESMA publishes Q&As on the Market Abuse Regulation


    Submitted: 07 November 2016

    ESMA publishes advice on managers’ transactions, investment recommendation and information recommending or suggesting an investment strategy under MAR.

  • 100 days of MAR: the top ten Q&As


    Submitted: 28 October 2016

    Now that MAR has been up and running for several months, we take a look at some of the questions that seem to come up repeatedly, consider the answer to those questions and examine where else clarity may be needed.

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