December 2024 M T W T F S S 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 29 30 31 - Subscribe to our News page
Tag Archives: market abuse
Feb20
FCA Reviews
As FCA reveals its supervision plans, firms need to pre-empt No one can say they did not know it was coming. The FCA is getting ever more explicit about its immediate concerns and supervision plans. As we noted at New …
Click here to read the rest of this entry
Posted in: Assessment of Value, Asset Management Market Study, CASS, MAR, MiFID, Senior Managers Regime, UCITS
Tagged in: ABC, AML, Assessment of value, asset management market study, Bribery, CASS, Client money, FCA, Governance, Independent Directors, Liquidity, MAR, market abuse, MiFID, Operational resilience, opting-up, senior managers regime, SMCR, UCITS
Tagged in: ABC, AML, Assessment of value, asset management market study, Bribery, CASS, Client money, FCA, Governance, Independent Directors, Liquidity, MAR, market abuse, MiFID, Operational resilience, opting-up, senior managers regime, SMCR, UCITS
Feb9
ESMA clouds MAR with Guidelines
As the forthcoming EU Market Abuse Regulation creeps up on us, we now have a further dollop of related regulation, this time in the form of draft ‘Guidelines’ from ESMA (Draft guidelines on the Market Abuse Regulation, ESMA/2016/162). We aren’t …
Click here to read the rest of this entry