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Financial Services Law, 4th Edition edited by Walker, George; Purves, Robert (8th March 2018)

Part II Financial Services Regulation, 13 Insider Dealing and Misleading Statements and Impressions

George Walker, Robert Purves, Michael Blair

From: Financial Services Law (4th Edition)

Edited By: Professor George Walker, Robert Purves

From: Oxford Legal Research Library (http://olrl.ouplaw.com). (c) Oxford University Press, 2015. All Rights Reserved.date: 17 November 2019

Subject(s):
Regulation of banks — Criminal proceedings — Market abuse — Regulated activities — UK Financial Conduct Authority (FCA)

This chapter focuses on the criminal offences of insider dealing under the Criminal Justice Act 1993 (CJA) and misleading statements and impressions under Part 7 of the Financial Services Act 2012 (FSA 2012), along with regulatory requirements relating to market misconduct. It first provides an overview of the relevant provisions of Part V of CJA before discussing the roles of the various regulatory and prosecuting authorities with power to take action in respect of market misconduct and how these bodies interact. In particular, it examines the responsibility of the Financial Conduct Authority (FCA) for prosecuting offences unde CJA and FSA 2012. It also analyses the provisions of Part 7 of FSA 2012 regarding offences in relation to financial services as well as other regulatory provisions relating to undesirable market conduct.

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