A principled front in the war against market abuse

Richard Burger

Journal of Financial Regulation and Compliance, 2007, vol. 15, issue 3, 331-336

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: Crimes; Financial management; Insider trading (search for similar items in EconPapers)
Date: 2007
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Persistent link: https://EconPapers.repec.org/RePEc:eme:jfrcpp:v:15:y:2007:i:3:p:331-336

DOI: 10.1108/13581980710762318

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