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Siobhain Egan

Latest Activity

Siobhain Egan updated their profile
Sep 5, 2013
A blog post by Siobhain Egan was featured

FCA issues fines for enabling market abuse

In an interesting example of regulatory action against third parties in a market abuse case, the Financial Conduct Authority (FCA) has recently fined a compliance officer and a broker for failing to spot, challenge or report the manipulation.The FCA alleges that David Davis, a senior partner and compliance officer of Paul E Schweder Miller & Co, and Vandana Parikh, a broker at the same firm, failed to act with due skill, care and diligence in the period leading up to the illegal…See More
Aug 19, 2013
Siobhain Egan posted a blog post

FCA issues fines for enabling market abuse

In an interesting example of regulatory action against third parties in a market abuse case, the Financial Conduct Authority (FCA) has recently fined a compliance officer and a broker for failing to spot, challenge or report the manipulation.The FCA alleges that David Davis, a senior partner and compliance officer of Paul E Schweder Miller & Co, and Vandana Parikh, a broker at the same firm, failed to act with due skill, care and diligence in the period leading up to the illegal…See More
Aug 19, 2013
Siobhain Egan is now a member of Defero Law
Aug 16, 2013

Profile Information

Law Firm or Company Name
Lewis Nedas
Job Title
Consultant Solicitor
Type of Member
Lawyer
Area(s) of Practice
Administrative & Public Law, Banking & Finance, Banking Litigation, Commercial Dispute Resolution, Consumer Law, Corporate/M&A, Dispute Resolution
Website
http://lewisnedas.co.uk
Twitter Page
http://twitter.com/LewisNedasLaw

Siobhain Egan's Blog

FCA issues fines for enabling market abuse

Posted on August 19, 2013 at 11:30 0 Comments

In an interesting example of regulatory action against third parties in a market abuse case, the Financial Conduct Authority (FCA) has recently fined a compliance officer and a broker for failing to spot, challenge or report the manipulation.

The FCA alleges that David Davis, a senior partner and compliance officer of Paul E Schweder Miller & Co, and Vandana Parikh, a broker at the same firm, failed to act with due skill, care and diligence in the period leading up to the illegal…

Read More

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