Market abuse & insider dealing

Latest

21 to 30 of 71
  • Market abuse - decision by Upper Tribunal in Hannam v FCA Restricted access

    Article

    Submitted: 02 July 2014

    The decision of Hannam v FCA is one of the more significant decisions on market abuse in recent years.

  • Episode 350: Prosecuting cartels - the guidance explained

    Video Podcast

    Submitted: 23 September 2013

    Simmons & Simmons partners Stephen Gentle and Tony Woodgate discuss the UK’s Cartel Offence Prosecution Guidance in the context of the controversial move to omit dishonesty from the cartel offence from April 2014.

  • FCA makes further findings in relation to Rameshkumar Goenka market abuse Restricted access

    Article

    Submitted: 28 August 2013

    Following the FSA’s finding of market abuse against Rameshkumar Goenka in November 2011, the FCA has levied fines and, in two cases, prohibition orders against his investment adviser, broker and the broker’s compliance officer.

  • Market misconduct - the screws tighten Restricted access

    Seminar

    Submitted: 22 May 2013

    In the last few months we have seen significant structural changes to the regulatory / statutory regime governing market misconduct in Hong Kong.

  • Oversight April 2013 - SFC Consultation Conclusions on extending the SFO to apply to non-corporate listed entities Restricted access

    Newsletter

    Last Reviewed: 26 April 2013 / Submitted: 26 April 2013

    The SFC on 27 March 2013 issued its Consultation Conclusions on proposals to enhance the regulatory regime for non-corporate listed entities, in which the SFC has decided to implement all the proposals set out in the Consultation Paper. This Oversight focuses specifically on the proposals which are most relevant to ETFs and REITs listed on SEHK.

  • Information Manipulation in The Netherlands Restricted access

    Article

    Submitted: 18 October 2012

    Our article embarks on a critical analysis of two verdicts, maintaining the decisions of the Authority for the Financial Markets (Autoriteit Financiële Markten or "AFM").

  • FSA has teeth? Trends in Market Abuse Restricted access

    Seminar

    Submitted: 28 June 2012

    Simmons & Simmons partners, Sarah Bowles, Darren Fox and Richard Sims discuss current trends in market abuse with reference to Greenlight, Hannam, Kyprios et al.

  • FSA brings first successful cross border insider dealing case Restricted access

    Article

    Submitted: 11 June 2012

    The FSA has recently underlined its "willingness, and ability, to tackle serious, organised insider dealing" following three convictions in its first successful cross border insider dealing prosecution.

  • 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.

  • 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.

21 to 30 of 71