Tag Archives: DTR


New Market Abuse powers for the FCA (2) Powers to require information from issuers, PDMRs and persons closely associated to PDMRs The Financial Services and Markets Act 2000 (Market Abuse) Regulations 2016 (the "regulations") were passed to ensure that UK law … Continue reading

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Filed under Asset management, Banking, FCA, HM Treasury, Insurance, Investigations, Investment banking, Uncategorized

Reporting by extractive companies on government payments – early UK implementation of the EU requirements

Two EU Directives were passed in 2013 which mandate annual reports on payments to governments by companies in the extractive industries. In the UK, the government has confirmed that these provisions will be implemented early and will apply to listed … Continue reading

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Filed under BIS, EU, Europe, UK

UK: FSA ups the ante for listed companies with £2.4m fine for LDTR breaches involving inside information

The Financial Services Authority (FSA) has published a final notice setting out its decision to fine Lamprell plc (Lamprell) £2,428,300 for significant failings in its systems and controls which resulted in breaches of the Listing Principles, the Disclosure and Transparency Rules (LDTR) and of the … Continue reading

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Filed under FSA, FSA Penalties, UK