Season 3, Episode 6: The persistence of market abuse
Compliance Clarified – a podcast by Thomson Reuters Regulatory Intelligence - Un pódcast de Thomson Reuters - Jueves
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In the sixth of season 3 of the Compliance Clarified podcast Susannah Hammond is joined by Rachel Wolcott to assess the persistence of market abuse, not just as a result of hybrid working but as a continuing supervisory focus. This episode takes a look at where we are now, discusses recent cases and gives an insight into what compliance officers need to consider in the continuing battle against market abuse and manipulation. As discussed in the podcast here are some additional resources: Insider dealing convictions of UBS compliance officer and day trader upheld, December 2020https://www.fca.org.uk/news/press-releases/insider-dealing-convictions-upheld-court-appeal FCA considering broader action on trading influencers after signalling case judgmenthttps://www.jdsupra.com/legalnews/fca-considering-broader-action-on-2280957/ FCA Market Watch 66https://www.fca.org.uk/publications/newsletters/market-watch-66 FCA fines and prohibits hedge fund Chief Investment Officer for market abusehttps://www.fca.org.uk/news/press-releases/fca-fines-and-prohibits-hedge-fund-chief-investment-officer-market-abuse FCA fines TFS-ICAP £3.44 million for market misconducthttps://www.fca.org.uk/news/press-releases/fca-fines-tfs-icap-market-misconduct Tesco to pay redress for market abusehttps://www.fca.org.uk/news/press-releases/tesco-pay-redress-market-abuse Insider dealers sentenced in Operation Tabernula trialhttps://www.fca.org.uk/news/press-releases/insider-dealers-sentenced-operation-tabernula-trial FCA commences criminal proceedings against brothers for insider dealing and fraudhttps://www.fca.org.uk/news/press-releases/fca-commences-criminal-proceedings-against-brothers-insider-dealing-and-fraud Focus on market abuse highlights need for effective approach to ‘dawn raids’https://www.linkedin.com/posts/susannahhammond_market-abuse-dawn-raids-activity-6859152841676746753-reat Further information on Thomson Reuters Regulatory Intelligence can be found at: https://legal.thomsonreuters.com/en/products/regulatory-intelligence
