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Financial services and markets tribunal further clarifies scope of market abuse regime

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  • Joanna Gray

Abstract

Purpose - To report and comment on the tribunal caseJames Parkerv.FSA. Design/methodology/approach - Outlines the facts and explains the decision reached. Findings - An applicant's failure to abide by an employer's internal notification rules and clearance procedures applicable to personal account dealings led the Tribunal to doubt the honesty of that applicant and the plausibility of his proffered explanation. Originality/value - The case highlights the factors that may influence a future Tribunal in deciding whether to reject or accept an applicant's arguments as to the motivation for and innocence or otherwise of his behaviour.

Suggested Citation

  • Joanna Gray, 2007. "Financial services and markets tribunal further clarifies scope of market abuse regime," Journal of Financial Regulation and Compliance, Emerald Group Publishing Limited, vol. 15(1), pages 122-125, February.
    • Handle: RePEc:eme:jfrcpp:v:15:y:2007:i:1:p:122-125
    DOI: 10.1108/13581980710727065
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    Keywords

    Tribunals; Legal disputes;

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