related Events

FCA Investigations and Enforcement Summit 2023

The FCA Investigations and Enforcement Summit, which took place on the 1st June, was a highly regarded annual event addressing the latest developments in the FCA’s enforcement agenda. This year’s event covered a number of new issues which have an impact on the risk of an investigation or enforcement action. These included the rise in online scams, cyber frauds and crypto risks including the risk to consumers and the risk of crypto being used for money-laundering, evading sanctions or other illicit purposes. With the cost of living crisis placing pressure on consumers, the focus was also on consumer conduct and recent enforcement action in relation to customer communications and vulnerable customers.

Market abuse and Market Manipulation Summit 2021

City and Financial Global was pleased to announce its annual Market Abuse and Market Manipulation Summit which will took place on 4th November 2021 in London.

It was almost exactly five years since the EU Market Abuse Regulation (MAR) came into force. In that time there had been a multitude of developments in the interpretation of what constitutes market abuse, the maintenance of insider lists, delaying disclosure of information, market soundings and market manipulation.

Market abuse regulation SUmmit 2020

In its recent Market Watch 63, the Financial Conduct Authority highlighted serious concerns about how the Covid-19 crisis could impact firms' exposure to market abuse. In particular, they focussed on the risks posed by the current pandemic in terms of additional capital raising, the difficulties in maintaining physical supervision of employees and market participants working remotely, and the type of information which may become material in terms of disclosure.

Dramatic changes in issuers' circumstances as a result of the crisis required serious consideration as to whether inside information has arisen and, if it has, whether such information has been appropriately disclosed so that investors are not misled. In addition, working from home arrangements may make it more difficult to control the dissemination and use of inside information to ensure it is not mishandled or misused.