Asset management firms and the risk of market abuse: key practical points from the FCA's thematic review feedback and recent FCA enforcement activity | Practical Law

Asset management firms and the risk of market abuse: key practical points from the FCA's thematic review feedback and recent FCA enforcement activity | Practical Law

In this article, Calum Burnett, a partner, and Sarah Hitchins, an associate, in Allen & Overy LLP's Banking, Finance and Regulatory Litigation Group, provide an overview of the risk of market abuse facing asset management firms, together with ways to help mitigate that risk, based on the FCA's feedback relating to its 2014 thematic review into asset management firms and the risk of market abuse (TR15/1) and recent FCA enforcement activity.

Asset management firms and the risk of market abuse: key practical points from the FCA's thematic review feedback and recent FCA enforcement activity

by The Banking, Finance and Regulatory Litigation Group, Allen & Overy LLP
Law stated as at 21 May 2015 • United Kingdom
In this article, Calum Burnett, a partner, and Sarah Hitchins, an associate, in Allen & Overy LLP's Banking, Finance and Regulatory Litigation Group, provide an overview of the risk of market abuse facing asset management firms, together with ways to help mitigate that risk, based on the FCA's feedback relating to its 2014 thematic review into asset management firms and the risk of market abuse (TR15/1) and recent FCA enforcement activity.