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 2020
https://www.fca.org.uk/news/press-releases/insider-dealing-convictions-upheld-court-appeal
FCA considering broader action on trading influencers after signalling case judgment
https://www.jdsupra.com/legalnews/fca-considering-broader-action-on-2280957/
FCA Market Watch 66
https://www.fca.org.uk/publications/newsletters/market-watch-66
FCA fines and prohibits hedge fund Chief Investment Officer for market abuse
https://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 misconduct
https://www.fca.org.uk/news/press-releases/fca-fines-tfs-icap-market-misconduct
Tesco to pay redress for market abuse
https://www.fca.org.uk/news/press-releases/tesco-pay-redress-market-abuse
Insider dealers sentenced in Operation Tabernula trial
https://www.fca.org.uk/news/press-releases/insider-dealers-sentenced-operation-tabernula-trial
FCA commences criminal proceedings against brothers for insider dealing and fraud
https://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
