- Chief Compliance Officer and VP of Legal Affairs, Arrow Electronics
The Financial Conduct Authority has published changes to its handbook, “Disclosure Guidance and Transparency Rules,” to help U.K.-listed companies comply with new EU Market Abuse Regulation (MAR) from 3 July this year. The handbook and MAR cover a very wide range of “market abuse” issues, such as insider dealing, improper ...
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The FCA Market Abuse Regulation is meant to deal with a wide range of possible market misconduct, but it does not synch cleanly with laws in other countries.
A fake press release sent French construction firm Vinci into a downward spiral, provoking action from the Autorité des Marchés Financiers to get busy on reforms to prevent such damaging incidents.
The U.K. Financial Conduct Authority fined the London branch of Australian-based Macquarie Bank Limited more than 13 million pounds (U.S. $16.3 million) for “serious control failures” that allowed a trader to conceal hundreds of fictitious trades over a 20-month period.
