Financial crime—market abuse

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FCA regulation of claims management companies—essentialsBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit...
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Produced in partnership with Nicholas Thompsell of Fieldfisher 19th May
Practice notes
Overview of UK implementation of the Consumer Credit DirectiveBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the...
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Produced in partnership with Sam Millar of DLA Piper and Tony Katz of DLA Piper 19th May
Practice notes
What are regulated activities?Under the general prohibition a person cannot carry out a regulated activity, or purport to carry out a regulated...
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19th May
Practice notes
The European Systemic Risk BoardBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit transition/implementation...
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19th May
Practice notes
The Financial Services Compensation SchemeBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit...
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Produced in partnership with Honor Levy of LexisNexis 19th May
Practice notes
Responsible lending requirements—CONC 5BREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit...
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Produced in partnership with Jacqui Hatfield of Orrick, Herrington & Sutcliffe 19th May
Practice notes
Financial Services Compensation Scheme (FSCS)—the qualifying conditions for compensationThis Practice Note covers the conditions necessary for the...
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Produced in partnership with Honor Levy of LexisNexis 19th May
Practice notes
The Single RulebookBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit transition/implementation period entered...
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Produced in partnership with DLA Piper 19th May
Practice notes
Unregulated collective investment schemes—essentialsWhat are unregulated collective investment schemes?In the UK, an unregulated collective investment...
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Produced in partnership with Lora Froud of Macfarlanes 19th May
Practice notes
The general prohibition and implications of its breachThe general prohibitionUnder section 19 of the Financial Services and Markets Act 2000 (FSMA...
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19th May
Practice notes
FCA best execution rulesBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit transition/implementation period...
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19th May
Practice notes
Public censure by the FCALexis®PSL Financial Services FCA/PRA Enforcement Database: This incorporates detailed information on all substantive FCA and...
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19th May
Practice notes
Recognised investment exchangesBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit transition/implementation...
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19th May
Practice notes
Part VII Transfer of Banking BusinessSummaryAs noted in Practice Note: Insurance business transfer schemes, a regime for transferring portfolios of...
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19th May
Practice notes
Appointed representativesBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit transition/implementation period...
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19th May

Most recent Financial crime—market abuse content

Practice notes
Market Abuse Regulation (MAR)—level 2 and level 3 measuresBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit...
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31st Jul
Practice notes
Market Abuse Regulation (MAR)—essentialsIn each section of this Practice Note, links are given to the relevant provisions of EU and/or UK legislation,...
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31st Jul
Practice notes
Directive 2014/57/EU on criminal sanctions for market abuseBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit...
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Produced in partnership with Ms Alison Geary of WilmerHale 31st Jul
Practice notes
USA—Insider tradingThe restriction on insider tradingWhat is insider trading?Insider trading is usually associated with illegal conduct. However, the...
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31st Jul
Practice notes
An introduction to short sellingShort selling, or 'going short', is a technique whereby traders sell shares or debt instruments ('securities') which...
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31st Jul
Practice notes
Market Abuse Regulation—unlawful disclosure of inside information and market soundings—quick guideThis Practice Note provides a quick guide to the key...
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31st Jul
Practice notes
Quick Look Brexit Financial Services Legislation Status Guide—Market Abuse RegulationThis Quick Look Brexit Financial Services Legislation Status...
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31st Jul
Practice notes
Impact of Brexit: Market Abuse Regulation—quick guideThis quick guide provides high-level information on the measures taken under the European Union...
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31st Jul
Practice notes
Market Abuse Regulation (MAR)—one minute guideWhat is the objective of the EU Market Abuse Regulation and UK Market Abuse Regulation?The Market Abuse...
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31st Jul
Practice notes
Benchmark enforcement action—essentialsBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit...
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Produced in partnership with Brown Rudnick 31st Jul
Practice notes
Misleading statements, misleading impressions and market manipulationPart 7 of the Financial Services Act 2012The Financial Services Act 2012 (FSA...
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31st Jul
Practice notes
Coronavirus (COVID-19)—financial crime implications for financial institutionsSome criminals have taken advantage of the coronavirus (COVID-19)...
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31st Jul
Practice notes
Share rampingWhat is share ramping?Share ramping is a form of illegal market abuse that involves talking up the price of particular shares in order to...
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30th Jul
Practice notes
Misleading statements etc in relation to benchmarksFORTHCOMING CHANGE: Section 31(2) of the Financial Services Act 2021 (FSA 2021) increases the...
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30th Jul
Practice notes
Misleading statements under the Financial Services Act 2012FORTHCOMING CHANGE: Section 31(2) of the Financial Services Act 2021 (FSA 2021) increases...
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Produced in partnership with Joanna Dimmock, Tom Hickey and Fred Kelly of White & Case LLP 30th Jul
Practice notes
Criminal insider dealing (encouraging offence)—a quick guideThis Practice Note is concerned with one of the three criminal offences created under...
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30th Jul
Practice notes
Insider dealing—sentence trackerFORTHCOMING CHANGE: Section 31(1) of the Financial Services Act 2021 (FSA 2021) increases the maximum sentence for...
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30th Jul
Practice notes
Criminal insider dealing (disclosing inside information offence)—a quick guideFORTHCOMING CHANGE: Section 31(1) of the Financial Services Act 2021...
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30th Jul
Practice notes
Misleading impressions under the Financial Services Act 2012FORTHCOMING CHANGE: Section 31(2) of the Financial Services Act 2021 (FSA 2021) increases...
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30th Jul
Practice notes
Insider dealingFORTHCOMING CHANGE: Section 31(1) of the Financial Services Act 2021 (FSA 2021) increases the maximum sentence for insider dealing...
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Produced in partnership with Joanna Dimmock, Tom Hickey and Fred Kelly of White & Case LLP 30th Jul

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