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A principled front in the war against market abuse

Richard Burger (Mills & Reeve Solicitors, Cambridge, UK)

Journal of Financial Regulation and Compliance

ISSN: 1358-1988

Article publication date: 31 July 2007

Abstract

Purpose

The purpose of this study is to consider the case of Sean Pignatelli and consider surrounding commentary on the misuse of market information.

Design/methodology/approach

The paper reviews the Financial Services Authority's (FSA) Final Notice and related publications.

Findings

The paper finds that there may be limitations to the use of the market abuse regime and therefore the FSA may consider the greater use of Principles to “punish” those who engage in market misconduct.

Originality/value

This study will be of interest to approved persons, compliance officers and regulatory lawyers.

Keywords

Citation

Burger, R. (2007), "A principled front in the war against market abuse", Journal of Financial Regulation and Compliance, Vol. 15 No. 3, pp. 331-336. https://doi.org/10.1108/13581980710762318

Publisher

:

Emerald Group Publishing Limited

Copyright © 2007, Emerald Group Publishing Limited