The FCA has published a Decision Notice against Linear Investments Ltd, a specialist prime broker and hedge fund incubator, which failed to ensure adequate detection and prevention of potential market abuse, a breach of FCA Principle 3 (“a firm must take reasonable care to organize and control its affairs responsibly and effectively, with adequate risk management systems”).
September 27, 2018
FCA publishes Decision Notice against Linear Investments Limited in relation to market abuse control failures
Related by Topic
New Post
SEC reaches settlement with fifth member of an insider trading scheme
September 25, 2024
News Alert
New Post
Former financial consultant, his friends and father charged with insider trading in Florida
September 20, 2024
News Alert
Chinese national reaches $39.5 million settlement to resolve insider trading allegations
September 5, 2024
News Alert