Newsletters
The MarketWatch newsletters give a periodical update on the market conduct and transaction reporting issues that we are looking at.
| Date | Edition | Issues |
|---|---|---|
| November 2008 | MarketWatch Issue No.30 [ PDF ] | Thematic review: Rumours, Sponsored access, Credit default swaps and the market abuse regime |
| October 2008 | MarketWatch Issue No.29 [ PDF ] | Unauthorised trading at Société Générale: update, Market abuse controls: follow-up visits to hedge fund managers, Alternative Instrument Identifier (AII): update and Transaction reporting requirements |
| June 2008 | MarketWatch Issue No.28 [ PDF ] | Requests to firms to retain recordings, Private placings – client categorisation issues under COBS, Anti market abuse systems and controls – commodity markets, Systems and controls in relation to public and private side interaction in debt capital markets businesses, Transaction reporting |
| June 2008 | MarketWatch Issue No.27 [ PDF ] |
Thematic review of controls over insider information relating to public takeovers: update following work undertaken since MarketWatch No.21 in July 2007 |
| April 2008 | MarketWatch Issue No.26 [ PDF ] |
Our strategy and key objectives for tackling market abuse |
| March 2008 | MarketWatch Issue No.25 [ PDF ] | Unauthorised trading at Société Générale, What can firms do?, Systems and Controls |
| October 2007 | MarketWatch Issue No.24 [ PDF ] | Visits to Hedge Fund Managers, Insider Trading Reviews by the FSA: The Importance of Timetables and Insider Lists, Non-market Price Transactions, Non-retail Transaction Enquiry Form, Transaction Reporting Rules, MiFID Trade Reporting |
| October 2007 | MarketWatch Issue No.23 [ PDF ] | Market in Financial Instruments Directive (MiFID) trade reporting requirements |
| August 2007 | MarketWatch Issue No.22 [ PDF ] | Special issue on transaction reporting |
| July 2007 | MarketWatch Issue No.21 [ PDF ] | Thematic review of controls over inside information relating to public takeovers. |
| May 2007 | MarketWatch Issue No.20 [ PDF ] | Shareholder Activism, Block Trades and the Market Abuse Regime, Approved Reporting Mechanisms, Data Integrity |
| March 2007 | MarketWatch Issue No.19 [ PDF ] | STR Case Studies, Transaction Reporting, Transaction Reporting User Pack, Approved Reporting Mechanisms, Data Integrity |
| December 2006 | MarketWatch Issue No.18 [ PDF ] | STR Review 2006, Thematic Project on the controls of inside information on mergers and acquisitions, Private Equity, Our transaction reporting system / disaster recovery test results, Decommissioning of our direct reporting system, Transaction reporting: issues and problems, External website gets a makeover |
| September 2006 | MarketWatch Issue No.17 [ PDF ] | Alpha Capture Systems, Spring-Loading and Bullet-dodging, CDS Reporting, TRS, Thematic Review |
| June 2006 | MarketWatch Issue No.16 [ PDF ] | Message from Sally Dewar, Market Management Exercises, Exchange Traded Funds, STRs, Credit Market Surveilance, Programme Trades, Bulletin Boards |
| February 2006 | MarketWatch Issue No.15 [ PDF ] | Misleading Primary Debt Issuance Disclosures, Short Selling, Transaction Reporting Breaches, Thematic Review of Systems and Controls, TRS |
| December 2005 | MarketWatch Issue No.14 [ PDF ] | Over-allotment in Debt Markets, Stabilisation Disclosure Rules, STR FAQs, TRS |
| August 2005 | MarketWatch Issue No.13 [ PDF ] | Penalties for SUP 17 Breaches, Transaction reporting issues, MiFID, Bulletin Boards |
| June 2005 | MarketWatch - Issue No.12 - Special MAD Edition [ PDF ] | Handbook Changes, STR's, Stabilisation, MAD FAQs |
| November 2004 | MarketWatch - Issue No. 11 [ PDF ] | FTSE Future and Option Expiry, MAD Implementation |
| July 2004 | MarketWatch - Issue No. 10 [ PDF ] | Recent Enforcement Actions, Programme Trades, Credit Portfolio Trading, Undisclosed Principals, Inter-Professional Conduct, MAD Implementation Update |
| October 2003 | MarketWatch - Issue No. 9 [ PDF ] | MED-UKLA Merger, Short Selling, EU Developments |
| June 2003 | MarketWatch - Issue No. 8 [ PDF ] | Pre-Hedging Convertible Bonds, Short Selling, Undisclosed Principals, FTSE Expiries, EU Developments |
| March 2003 | MarketWatch - Issue No. 7 [ PDF ] | FTSE Expiries, EU Developments |
| December 2002 | MarketWatch - Issue No. 6 [ PDF ] | 12 Month Review, RSP Trading Strategy, FTSE Expiries |
| October 2002 | MarketWatch - Issue No. 5 [ PDF ] | Fixed Income Markets, IPOs, Electricity Markets |
| April 2002 | MarketWatch - Issue No. 4 [ PDF ] | Research & Sales Analysts, Pre-Hedging of Convertible Bonds, Spread Betting, Pilot Visits |
| February 2002 | MarketWatch - Issue No. 3 [ PDF ] | Current COMC Issues, Corporate Announcements, Electricity Markets, Stabilisation, IPC: Syndicate Issue |
| November 2001 | MarketWatch - Issue No. 2 [ PDF ] | Current COMC Issues, Securities Lending & Short Selling, Corporate & Credit Rating Agency Issues |
| September 2001 | MarketWatch - Issue No. 1 [ PDF ] | Guidance on COMC |