On 6 February 2020, Mark Steward, Executive Director of Enforcement and Market Oversight at the Financial Conduct Authority (“FCA”), spoke at the 19th Annual Institute on Securities Regulation in Europe. His speech,...more
3/12/2020
/ Commodities ,
Derivatives ,
Enforcement ,
Enforcement Actions ,
EU ,
EU Market Abuse Regulation (EU MAR) ,
Financial Markets Authority (FMA) ,
Market Abuse ,
Market Manipulation ,
MiFID II ,
Securities ,
UK
On 1 April this year the FCA turned five years old. Born from and in reaction to the financial crisis, its principal purpose was to protect consumers, through more effective supervision and more aggressive enforcement.
...more
On 3 July 2016 the EU Market Abuse Regulations (“MAR”) will come into force, replacing the previous civil market abuse regime as set out in the Market Abuse Directive (“MAD”). Given its extra-territorial effect, the changes...more