Market abuse & insider dealing


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


    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


    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.

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


    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.

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


    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


    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


    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.

  • First decision is given in the Parmalat affair Restricted access


    Last Reviewed: 18 September 2009 / Submitted: 18 September 2009

    The first judicial decision is given in the criminal prosecutions arising from the Parmalat scandal.

  • Court gives sentencing guidelines for insider dealing Restricted access


    Last Reviewed: 08 July 2009 / Submitted: 08 July 2009

    Sentencing has been upheld in the TTP case and professional traders are likely to face steeper sentences in future.

  • Market abuse: HM Treasury consultation on super equivalent provisions Restricted access


    Last Reviewed: 04 April 2008 / Submitted: 04 April 2008

    Consultation on the provisions of the UK`s market abuse regime in FSMA which are super equivalent to the EU Market Abuse Directive.

  • FSA: Market Watch: Issue 24: Insider trading reviews: Importance of timetables and insider lists Restricted access


    Last Reviewed: 19 December 2007 / Submitted: 19 December 2007

    The Financial Services Authority (FSA) has published issue 24 of Market Watch. This issue reports on the results of visits to a number of hedge fund managers to review the controls used to mitigate the risk of market abuse, and the importance of timetables and insider lists to the FSA when it is conducting enquiries for suspected cases of insider trading. Market Watch gives some general pointers on the level of detail the FSA is looking for in timetables and insider lists prepared by firms.

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