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Market abuse is a statutory offence that covers insider dealing and... commencer à apprendre
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... financial market manipulation.
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commencer à apprendre
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came into effect in 2016,
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EU Market Abuse Directive
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Following Brexit the UK ‘onshored’ (also referred to as 'retained’ or ‘assimilated’ EU Law) the EU MAR into the... commencer à apprendre
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EU MAR. There is no obligation to share information with EU authorities without a guarantee of... commencer à apprendre
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a guarantee of reciprocity. The Financial Conduct wzajemność
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After Brexit MAR became UK MAR. FCA took over the regulatory responsibilities previously held by... commencer à apprendre
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European Securities and Markets Authority.
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Improper disclosure is a market abuse. It's covered by Criminal Justime Act (CJA), and legistation relating to... commencer à apprendre
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... misleading statements and Financial Services Act 2012
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Misleading statements types:| Making misleading statements,|Creating false or misleading impressions| or... and Financial Services Act 2012 commencer à apprendre
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... making misleading statements in relation to benchmarks.
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Financial Services Act 2012. The penalty on Summary Conviction is a finejail sentence not exceeding... commencer à apprendre
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Financial Services Act 2012. The penalty on Conviction on Inducement is a jail sentence not exceeding... commencer à apprendre
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What is a public censure? commencer à apprendre
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public reprimand issued by a regulator. It is a reputational sanction rather than a financial penalty.
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When deciding to take any action in regard to market abuse it may also consider additional factors, such as the impact that a financial penalty or public censure may have on the financial markets and... commencer à apprendre
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degree of sophistication of the users of the market in question.
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The FCA’s policy is not to have ‘two bites of the cherry', therefore, commencer à apprendre
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will not impose sanctions for market abuse where a person is being prosecuted for market misconduct (and other way round).
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UK MAR does not only apply to executed trades, it also applies to unexecuted orders and... commencer à apprendre
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Requests For Quotes (RFQ)
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Market abuse prevention and detection. Documented information of respective systems and controls should be maintained for a period of... commencer à apprendre
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for the proper regulator, that is FCA
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What does stand for STOR? commencer à apprendre
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Suspicious Transaction and Order Reporting It covers also the attempts to commit offenses. | To notify the FCA
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A subject of a STOR may constitute market manipulation ior... commencer à apprendre
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Firms may submit a STOR, or they may submit a...? commencer à apprendre
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For activity which may not fall under STOR. | Market observations are, for example used when a firm or trading has observed a suspicious activity but is not involved in the activity itself and therefore does not have complete information.
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What qualifies as inside information in relation to commodity derivatives? commencer à apprendre
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Precise, non-public information about commodity derivatives or the related spot commodity that would likely have a significant effect on prices.
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UK MAR: When can client-conveyed information be inside information? convey [order, message, news, regards, thanks, congratulations, condolences] - przekazywać commencer à apprendre
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When a client conveys precise, non-public, price-sensitive information about pending orders in financial instruments. Example: auctioned products based on the emission allowances.
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