Category Market Abuse

Check out the latest edition of PIMFA – Personal Investment Management & Financial Advice Association‘s “Journal”, featuring Emily Wright, our Surveillance specialist…

Introduction In recent years, the financial services sector has witnessed a series of regulatory fines imposed on firms due to…

The regulator is increasingly asking to see your market abuse risk assessment and often at short notice. In this article…

FCA has been investigating UK based brokers involvement in cum/ex dividend arbitrage schemes. As it progresses its investigation the FCA…

The Financial Times has reported that BNP Paribas is facing mis-selling allegations over fx derivatives to Spanish corporate clients. It…