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21 Detection and Referral to Enforcement

From: Insider Dealing: Law and Practice

Sarah Clarke

From: Oxford Legal Research Library (http://olrl.ouplaw.com). (c) Oxford University Press, 2023. All Rights Reserved.date: 14 April 2024

Subject(s):
Financial Services and Markets Act 2000 — Enforcement — Market abuse — UK Financial Services Authority (FSA) — UK Financial Conduct Authority (FCA) — UK Prudential Regulation Authority (PRA) — Insider dealing
21.01 This Chapter puts market abuse and insider dealing in the context of the Financial Services Authority’s (‘FSA’) and Financial Conduct Authority’s (‘FCA’) statutory objectives and deals with the principle ways in which market abuse and insider dealing behaviour is detected and initially investigated. The Chapter concludes by addressing the criteria that will be employed when a decision is made to refer a case to Enforcement for investigation and in accepting a case into Enforcement. It also deals with the position when other authorities have an interest in a...
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