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OPINION on position limits on OMIP SPEL Base contracts
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OPINION on position limits on MEFFPOWER Baseload contracts
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OPINION on position limits on EEX Italian Power Base contracts
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OPINION on position limits on EEX French Power Base contracts
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OPINION on position limits on EEX Spanish Power Base contracts
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Locking down market abuse
Speaker: Mark Steward, Executive Director of Enforcement and Market OversightEvent: Expert Forum: Market Abuse 2021Delivered: 25 February 2021Note: this is the speech as drafted and may differ from the delivered version Highlights Surveillance and investigation work has reduced trading by certain actors whose trading prompted high numbers of suspicious transaction and order reports. Increase in the FCA’s proactive market […]
Compliance table Guidelines Conflict of interest
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compliance table Guidelines APC Measures
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SEC Charges AT&T and Three Executives with Selectively Providing Information to Wall Street Analysts
The Securities and Exchange Commission today charged AT&T, Inc. with repeatedly violating Regulation FD, and three of its Investor Relations executives with aiding and abetting AT&T’s violations, by selectively disclosing material nonpublic information to research analysts. According to the SEC’s complaint, AT&T learned in March 2016 that a steeper-than-expected decline in its first quarter smartphone […]