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date: 28 January 2021

Abstract and Keywords

This Chapter examines issues concerning measures aimed at protecting the integrity of financial markets, focusing primarily on developments in the EU and the US—and to a lesser extent the UK. More specifically, it considers market integrity issues associated with market abuse, such as insider dealing and market manipulation. The discussion begins by considering the types of conduct/activity that raise market integrity concerns and the incidence of market abuse in modern financial markets. It then discusses the rationales for introducing prohibitions on market abuse, and assesses the evolving regulatory landscape. The EU’s regime is compared with that in the US with respect to regulation of insider dealing. The Chapter concludes by assessing enforcement issues.

Keywords: financial markets, EU, US, market integrity, market abuse, insider dealing, market manipulation, enforcement, regulation

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