Overall, the Final Report sets out some important proposed changes for FICC markets, such as creating a new statutory civil and criminal market abuse regime for spot FX, lengthening the maximum sentence for criminal market...more
7/9/2015
/ Asset Management ,
Bank of England ,
Broker-Dealer ,
Criminal Prosecution ,
FICC ,
FICC Market Standards Board (FMSB) ,
Financial Conduct Authority (FCA) ,
Hedge Funds ,
HM Treasury ,
IOSCO ,
Prudential Regulation Authority (PRA) ,
Trade Market Abuse ,
UK
Tackling market abuse continues to be a strategic priority for the FCA. In late 2014, the FCA undertook a thematic review into asset management firms and the risk of market abuse, the results of which were published in...more
5/25/2015
/ Asset Management ,
Compliance ,
Enforcement ,
Enforcement Actions ,
Financial Conduct Authority (FCA) ,
Financial Institutions ,
Fund Managers ,
Insider Trading ,
Risk Management ,
Risk Mitigation ,
Trade Market Abuse