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22 The Enforcement Investigation

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 — Market abuse — UK Financial Conduct Authority (FCA)
22.01 This Chapter describes the steps in a market abuse / insider dealing Enforcement investigation. It deals with the powers to appoint investigators, notification of the subject, the use of statutory powers under FSMA to require the production of documents or the provision of information, and the limits on these powers in certain circumstances. This Chapter also deals with the FCA’s power to obtain search warrants in market abuse / insider dealing cases, interviews with suspects and non-suspects, and the obtaining of witness statements. It also deals with the...
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