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Global Investigations Review - The Guide to International Enforcement of the Securities Laws

Global Investigations Review - The Guide to International Enforcement of the Securities Laws
globalinvestigationsreview.com - get the latest breaking news, showbiz & celebrity photos, sport news & rumours, viral videos and top stories from globalinvestigationsreview.com Daily Mail and Mail on Sunday newspapers.

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Is the FCA flexing its muscles as prosecutor?

By Richard Sallybanks, Umar Azmeh10 May 2021
Much has been written about the Financial Conduct Authority’s (FCA) recent decision to commence criminal proceedings against NatWest plc for offences under the Money Laundering Regulations 2007 (MLR). However, as the FCA also started two insider dealing prosecutions in February, does this signal an increased willingness to flex its muscles as a criminal prosecutor, as opposed to dealing with misconduct in the areas for which it has responsibility through its civil regulatory regime?
Richard Sallybanks
Umar Azmeh
On 11 February, the FCA announced that it had charged Stuart Bayes and Jonathan Swann with various offences of insider dealing under the Criminal Justice Act 1993 (CJA) in respect of trading in shares in British Polythene Industries plc in 2016; the profit from the alleged insider dealing was just under £140,000 (the case has been listed for trial on 4 April 2022, neither defendant has been arraigned, and th ....

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Compliance, Culture And Evolving Regulatory Expectations, Speech By Mark Steward, UK Financial Conduct Authority Executive Director Of Enforcement And Market Oversight, Delivered At NYU Law School

Compliance, Culture And Evolving Regulatory Expectations, Speech By Mark Steward, UK Financial Conduct Authority Executive Director Of Enforcement And Market Oversight, Delivered At NYU Law School
Date
Event: NYU Law School (Virtual)
Delivered: 31 March 2021
Highlights
The Senior Managers Regime (SMR) has changed the way firms allocate responsibilities, align those responsibilities to relevant controls and ensure oversight as to how these controls operate down the line.
The 5 Conduct Questions (5CQ), which start with ‘tone from the top’, are increasingly focussing on ‘tone from within’ which requires every person in an organisation to be personally accountable and engaged.
Every employee of a regulated firm is subject to individual conduct rules, which impose broad obligations. ....

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Locking Down Market Abuse: Speech By Mark Steward, Executive Director Of Enforcement And Market Oversight, Delivered At The Expert Forum: Market Abuse 2021

Event: Expert Forum: Market Abuse 2021
Delivered: 25 February 2021
Highlights
Surveillance and investigation work has reduced trading by certain actors whose trading prompted high numbers of suspicious transaction and order reports.
Increase in the FCA’s proactive market monitoring and the introduction of some new initiatives, notably a new approach to short selling reporting.
Introduction of a new market cleanliness measure, the Potentially Anomalous Trading Ratio.
Enforcement action taken in key market abuse cases against individuals and firms.
I am very happy to be able to be here for this year’s virtual webinar and thank the organisers for convening it. Last year’s event feels about 5 years ago. How strangely time has passed since then. ....

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Insider Trading Tipster Brothers Walk Away With Millions

Insider Trading Tipster Brothers Walk Away With Millions
msn.com - get the latest breaking news, showbiz & celebrity photos, sport news & rumours, viral videos and top stories from msn.com Daily Mail and Mail on Sunday newspapers.

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