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MAR, REMIT

Inside information – FCA Market Watch

The UK’s Financial Conduct Authority (FCA) has issued their latest “Market Watch” newsletter (number 60). It can be found here. The focus is on the control of
access to inside information, following the recent convictions in the case against a UBS compliance officer and a day trader (see here).

The newsletter looks at some of the requirements relating to access to inside information and the maintenance of insider lists found under MAR. Some of these requirements will only apply either at Investment Firms and/or those dealing with “issuers”. Nevertheless, the requirements can be considered best practice industry wide.As a result the newsletter will be of interest to those in energy and commodities trying to follow best practice under MAR and REMIT

About avivhandler

Aviv is the Managing Director of ETR Advisory, a niche consultancy focused on the regulation of the commodity, energy and financial markets. He has more than 23 years of experience in the financial, energy and commodity markets, covering regulatory compliance, credit, risk and financial technology. Prior to founding ETR, he was Partner at SunGard Global Services, where he built a Centre of Excellence in European Energy and Commodity Regulation. Before that, he founded Coherence, a consulting firm specializing in credit risk in commodity and energy trading as well as software product management. The credit practice ultimately became part of Sirius Solutions, where he was the Managing Director of Europe. He has also held management roles at KWI and Iris Financial, among other organizations. Mr. Handler holds a degree in computer science from Imperial College, University of London.

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