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Market Abuse Regulation

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Market abuse prevention is critical in maintaining confidence in financial markets where competition for large financial transactions is growing more intense. The US has had regulations to counter such market abuse as insider dealing and market manipulation for many years. However, it is only recently that the UK and the EU have thought it necessary to introduce legislation giving their regulators powers to deter and punish market abuse. The purpose of this book is to clarify the meaning, impact and application of the new UK and EU regulations, issues which have generated much interest and apprehension. The book examines in detail the new UK market abuse regime, including: – The Financial Services and Markets Act 2000 – The implementing regulations – The interpretation of the regulations by the Financial Services Authority – The conduct of investigations – The defences and appeals available against a finding of market abuse The work seeks to define market abuse in order to isolate the ways in which financial institutions may fall foul of the rules on this subject. Consideration is also given to compliance and enforcement issues such as who is overseeing conduct on this area, what the enforcement procedure entails and an overview of the litigation process.

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