• Criminal Justice Act 1993 (CJA)
  • The Insider Dealing (Securities and Regulated Markets) Order 1994
  • The Financial Services Act 2021
  • Market Abuse Regulation (MAR)
    • Regulation (EU) No 596/2014, On market abuse (market abuse regulation), as retained in the UK by the Market Abuse (Amendment) (EU Exit) Regulations 2019/310
    • Implementing Directive (EU) 2015/2392, As regards reporting to competent authorities of actual or potential infringements of MAR, as implemented in the UK by the Financial Services and Markets Act 2000 (Market Abuse) Regulations 2016
    • Delegated Regulation (EU) 2016/522, As regards the indicators of market manipulation and the disclosure thresholds, as retained in the UK by the Technical Standards (Market Abuse Regulation) (EU Exit) Instrument 2019
    • Delegated Regulation (EU) 2016/908, Laying down regulatory technical standards on the criteria, the procedure and the requirements for establishing an accepted market practice, as retained in the UK by the Technical Standards (Market Abuse Regulation) (EU Exit) Instrument 2019
    • Delegated Regulation (EU) 2016/1052, With regard to regulatory technical standards for the conditions applicable to buy-back programs and stabilization measures, as retained in the UK by the Technical Standards (Market Abuse Regulation) (EU Exit) Instrument 2019
    • Delegated Regulation (EU) 2016/957, With regard to notification templates to be used for preventing, detecting and reporting abusive practices or suspicious orders or transactions, as retained in the UK by the Technical Standards (Market Abuse Regulation) (EU Exit) Instrument 2019
    • Delegated Regulation (EU) 2016/958, With regard to regulatory technical standards for the technical arrangements for objective presentation of investment recommendations, as retained in the UK by the Technical Standards (Market Abuse Regulation) (EU Exit) Instrument 2019
    • Implementing Regulation (EU) 2016/347, Laying down implementing technical standards with regard to the precise format of insider lists and for updating insider lists, as retained in the UK by the Technical Standards (Market Abuse Regulation) (EU Exit) Instrument 2019
    • Implementing Regulation (EU) 2016/523, Laying down implementing technical standards with regard to the format and template for notification and public disclosure of managers’ transactions, as retained in the UK by the Technical Standards (Market Abuse Regulation) (EU Exit) Instrument 2019
    • Implementing Regulation (EU) 2016/959, Laying down implementing technical standards for market soundings with regard to the systems and notification templates to be used by disclosing market participants and the format of records, as retained in the UK by the Technical Standards (Market Abuse Regulation) (EU Exit) Instrument 2019
    • Delegated Regulation (EU) 2016/960, With regard to regulatory technical standards for the appropriate arrangements, systems and procedures for disclosing market participants conducting market soundings, as retained in the UK by the Technical Standards (Market Abuse Regulation) (EU Exit) Instrument 2019
    • Implementing Regulation (EU) 2016/1055, Laying down implementing technical standards with regard to the technical means for appropriate public disclosure of inside information and for delaying the public disclosure of inside information, as retained in the UK by the Technical Standards (Market Abuse Regulation) (EU Exit) Instrument 2019
  • Regulation (EU) No 1227/2011, On wholesale energy market integrity and transparency (REMIT) as retained in the UK by the European Union (Withdrawal) Act 2018, Electricity and Gas (Powers to Make Subordinate Legislation) (Amendment) (EU Exit) Regulations 2018 (SI 2018/1286), Electricity and Gas (Market Integrity and Transparency) (Amendment) (EU Exit) Regulations 2019 (SI 2019/534) and Electricity and Gas etc. (Amendment) (EU Exit) Regulations 2020 (SI 2020/1016).
  • European Securities and Markets Authority (ESMA)1
  • European Agency for the Cooperation of Energy Regulators, Guidance on wholesale energy market integrity and transparency

1 Note that the FCA has stated that it expects firms to continue to apply non-legislative material issued by ESMA, interpreted in light of the UK’s withdrawal from the EU and the associated legislative changes. https://www.fca.org.uk/publication/corporate/brexit-our-approach-to-eu-non-legislative-materials.pdf



You are currently offline.