Market abuse & insider dealing

Latest

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  • FCA review of MAR implementation

    Article

    Submitted: 16 January 2019

    An overview of Market Watch No 58.

  • Bonusing proposals clarified - what you need to know

    Article

    Submitted: 19 December 2017

    ​An overview of the proposed Regulations relating to bonusing made in terms of the Medicines and Related Substances Act, 1965 (‘Regulations’ and ‘Act’) published to cure the perceived ills of bonusing and incentives.

  • FCA releases three more SMCR Consultation Papers

    Article

    Submitted: 13 December 2017

    Following its consultations on the extension of the Senior Managers and Certification Regime (SMCR) to insurers and solo regulated firms in November, the Financial Conduct Authority (FCA) has published three more consultation papers on the transitioning to the SMCR and the duty of responsibility on 13 December 2017.

  • Extension of SMCR: Duty of responsibility in practice Restricted access

    Webinar

    Submitted: 13 December 2017

    Watch our recent webinar on demand. Gain 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 Restricted access

    Webinar

    Submitted: 06 December 2017

    View this webinar on demand and download the slides now. We take a look at SMCR Conduct Rules and what firms should do now in preparation for these.

  • Extension of SMCR: Identifying Certification staff and related challenges Restricted access

    Webinar

    Submitted: 29 November 2017

    View our recent SMCR webinar and download the slides now. This session covered 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. It also discusses the steps firms should take now to prepare for certification and who should be involved in that process (including relevant comments for insurers).

  • Extension of SMCR: Identifying senior managers and related challenges Restricted access

    Webinar

    Submitted: 22 November 2017

    Download the slides and watch our recent webinar on demand. This session had a particular focus on tricky issues such as extraterritoriality, how to manage your existing SIF population and statements of responsibility. It also covered the duty of responsibility and how to take reasonable steps, and how to create clear reporting lines. You will also receive a helpful reminder of the relevant provisions in the draft rules (including relevant comments for insurers).

  • Extension of SMCR: Response to Consultation Papers Restricted access

    Webinar

    Submitted: 08 November 2017

    Download the slides and 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

    Webinar

    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.

  • The FCA, Tesco and the civil market abuse regime

    Article

    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.

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