Financial crime

Related information

Industry Material
Principles of good practice [PDF]

Web-based reporting for firms to submit data
Transaction Reporting


See also

FSA Handbook

Market Conduct Sourcebook (MAR)

 

The Market abuse library brings together all the documents we have published regarding Market abuse.

As well as the documents below, there are also:

 

Code of Market Conduct
October 2007 FSA Factsheet: Why market abuse could cost you money [ PDF ]
November 2001 Guidance Note No.1 - Frequently asked questions on the code of market conduct
Operating Arrangements
April 2007 Operating Guidelines between the Financial Services Authority and the Panel On Takeovers and Mergers and Market Misconduct [ PDF ]
August 2005 Operating Arrangements Between the FSA and the Recognised Investment Exchanges on Market Misconduct [ PDF ]
June 2005 Operating arrangements between the Financial Services Authority and Ofex Plc [ PDF ]
June 2005 Policy statement: Market conduct sourcebook (specialist topics and frequently asked questions) - Feedback on CP124
Price Stabilising Rules
November 2004 FSA Factsheet: Public issues of securities and stabilisation [ PDF ]
July 2004 CP78: The Price Stabilising Rules - Feedback on CP40
Transaction reporting cases
December 2005 A financial penalty of £100,000 in respect of a breach of SUP 15.61R of the FSA Rules, namely the obligation to ensure that the transaction reports it provided to the FSA were accurate. HSBC Bank plc [PDF]
November 2005 A financial penalty of £100,000 in respect of breaches of Rule 5.49 of the Securities and Futures Association Rules (the "SFA Rules") and SUP 17.4R and SUP 15.61R of the FSA Rules, namely the obligations to make transaction reports to the SFA and later the FSA and to take reasonable steps to ensure that the transaction reports that it did provide to the FSA were accurate. UBS AG [PDF]
July 2005 A financial penalty of £40,000 in respect of a breach of the FSA's Rules, namely Supervision: Obligation to make transaction reports (SUP 17.4). Bear, Stearns International Limited.