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2003•SSRN Electronic JournalOpen access

The Enforcement of Insider Dealing under the Financial Services and Markets Act 2000

Michael Filby

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Abstract

Examines the powers of the Financial Services Authority (FSA) under the Financial Services and Markets Act 2000's civil market abuse regime and the Criminal Justice Act 1993. Looks at: (1) the powers of detection, including supervision, market surveillance and whistleblowing; (2) the powers to investigate and to request information; and (3) the powers of enforcement, including regulatory enforcement, regulatory sanctions and criminal enforcement. Includes a flow chart on the FSA's investigation and enforcement procedure.

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What this paper is about

Examines the powers of the Financial Services Authority (FSA) under the Financial Services and Markets Act 2000's civil market abuse regime and the Criminal Justice Act 1993. Looks at: (1) the powers of detection, including supervision, market surveillance and whistleblowing; (2) the powers to investigate and to request information; and (3) the powers of enforcement, including regulatory enforcement, regulatory sanctions and criminal enforcement. Includes a flow chart on the FSA's investigation and enforcement procedure.

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Available abstract

Examines the powers of the Financial Services Authority (FSA) under the Financial Services and Markets Act 2000's civil market abuse regime and the Criminal Justice Act 1993. Looks at: (1) the powers of detection, including supervision, market surveillance and whistleblowing; (2) the powers to investigate and to request information; and (3) the powers of enforcement, including regulatory enforcement, regulatory sanctions and criminal enforcement. Includes a flow chart on the FSA's investigation and enforcement procedure.

Key concepts: Enforcement, Sanctions, Business, Insider trading, Insider, Financial services, Financial market, Law enforcement

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