On 28 February 2017, HM Treasury published a document setting out its response to its proposal to amend the definition of financial advice in Article 53 of the Financial Services and Markets Act 2000 (Regulated Activities) Order 2001(RAO) (SI 2001/544) http://bit.ly/2mEvuMy HM Treasury explains that the majority of respondents supported the proposal to amend the […]

FCA announces details of market abuse Warning Notice issued to individual The FCA has (on 13 January) released details of a Warning Notice issued to an unnamed individual, stated to have been a bond trader employed by a bank. The notice sets out the FCA’s findings that the individual engaged in market abuse contrary to […]