Financial, Economic And Company Law

La dimensione costituzionale della tutela del risparmio

by Filippo Zatti

Part VIII Financial Services and Markets Act: Filling Insider Dealing’s Regulatory Gaps

by Michael Filby

M Filby, 'Part VIII Financial Services and Markets Act: Filling Insider Dealing's Regulatory Gaps' (2004) 25(12) Company Lawyer 363

Discusses the gaps in the regulation of insider dealing left by the criminal law and self-regulatory organisations and... more Discusses the gaps in the regulation of insider dealing left by the criminal law and self-regulatory organisations and mechanisms. Examines the criminal or civil status of the market abuse regime under the Financial Services and Markets Act 2000 Part VIII, focusing on its classification for the purposes of the European Convention on Human Rights 1950 and the domestic legal system, and the standard of proof required. Explores, by way of visual representation, the coverage of insider dealing regulations, the regulatory gaps that exist and whether they are filled by the market abuse regime, considering the seriousness of insider dealing, the severity of sanction and the standard of proof.

The Enforcement of Insider Dealing Under the Financial Services and Markets Act 2000

by Michael Filby

M Filby, 'The Enforcement of Insider Dealing under the Financial Services and Markets Act 2000' (2003) 24(11) Company Lawyer 334

Examines the powers of the Financial Services Authority (FSA) under the Financial Services and Markets Act 2000's... more Examines the powers of the Financial Services Authority (FSA) under the Financial Services and Markets Act 2000's civil market abuse regime and the Criminal Justice Act 1993. Looks at: (1) the powers of detection, including supervision, market surveillance and whistleblowing; (2) the powers to investigate and to request information; and (3) the powers of enforcement, including regulatory enforcement, regulatory sanctions and criminal enforcement. Includes a flow chart on the FSA's investigation and enforcement procedure.