Market abuse
Cole to leave UK FSA
Published online only
Source: Operational Risk & Regulation
Managing director's departure comes before regulatory overhaul
Published online only
Source: Operational Risk & Regulation
FSA fine for ex-JC FLowers chief executive 'does not show credible deterrence'
Published online only
Source: Operational Risk & Regulation
Latest fines include second-highest individual market abuse penalty so far
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More Market abuse articles
Record HSBC fine shows FSA getting tough on retail conduct
Published online only
Source: Operational Risk & Regulation
Experts believe multi-million-pound fine issued to HSBC to be continuation of FSA focus on banks' retail failings
Acer to issue guidelines to clarify Remit definition problems, says...
Published online only
Source: Energy Risk
The head of the Agency for the Cooperation of Energy Regulators says new non-binding guidance will appear shortly after the Remit regulation is published in the EU's official journal
Energy Risk Europe: Remit language too loose, say panellists
Published online only
Source: Energy Risk
Weaknesses exist in the language of new rules meant to prevent use of insider information and other forms of market abuse in the wholesale energy sector
Criminal minds and increased surveillance
Original headline:
Source: Operational Risk & Regulation
Recent high-profile convictions mark success for regulators’ increased market surveillance efforts, and this greater emphasis on oversight means firms are having to reassess their own monitoring systems
UK fines increase as FSA ditches soft approach
Original headline:
Source: Operational Risk & Regulation
The UK FSA can no longer be accused of taking a softly, softly approach to enforcement. In the harsh new world of City regulation, credible deterrence is the main theme, and the FSA is hitting banks and individuals where it hurts with larger fines than...
FSA denies CDO insider-trading crackdown
Published online only
Source: Operational Risk & Regulation
Regulator says investigations into certain market groups do not represent a CDO insider-trading initiative
SocGen studies hedge fund fraud to reduce risk
Published online only
Source: Operational Risk & Regulation
French bank completes statistical study on statistical properties of fraudulent funds
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