...Alexander Conrad Culley Purpose The purpose of this paper is to scrutinise the effectiveness of four derivative exchanges’ enforcement efforts since 2007. These exchanges include the Commodity Exchange Inc. and ICE Futures US from the United States and ICE Futures Europe and the London Metal...

... that the hearing panels should consider when determining sanctions for individual offenders and Member firms. The list is “illustrative, not exhaustive”, and consists of the following factors: Enforcement Self-regulation Aggravating and Mitigating Factors Investment Dealer Association […] government...

... on primary and secondary data analysis. The paper will analyse recent enforcement cases to guide the interpretations of the legal impact of the statute. Findings The study suggests five key findings. First, contrary to criticisms, BA 2010 is not without teeth. Second, the UK's position...

... at explaining how firms might stay on the right side of the law during the enforcement process. It should not, however, be a substitute for being conversant with either the relevant sections of the Handbook, or for engaging external counsel should your firm find itself under investigation...

...Andrew Proctor This paper sets out how the FSA intends to use enforcement tools to support its financial crime strategy and reduce the risk that regulated firms are used to further money laundering. It reiterates that public enforcement action is only one of a wide range of regulatory tools...

..., supervisory authorities and courts are required to display particular care in the interpretation and application of the new regime in order to ensure effective enforcement. © Emerald Group Publishing Limited 2004 Market abuse Insider trading Manipulation Enforcement Greece Journal...

...Philip Parish Journal of Financial Regulation and Compliance Volume 11 Number 2 N2+1: A review of FSA enforcement and discipline since N2 Philip Parish Received: 3rd February, 2003 Linklaters, One Silk Street, London EC2Y 8HQ, UK; tel: +44 (0)20 7456 4282; fax: +44 (0)20 7456 2222; e...