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ACRSD Visit Financial Conduct Authority and London Stock Exchange 14-15/3/2018

Members of the Appeal Committee for Resolution of Securities Disputes (ACRSD) along with a number of its General Secretariat staff visited the UK Financial Conduct Authority (FCA), as well as the London Stock Exchange (LSE) during the period of 14-15/3/2018.


The visit included; a presentation on the authorities and jurisdictions of the FCA when dealing with Authorized Persons in the market, as well as the executive procedures allowed for FCA to enforce against companies that do not comply with legal and technical standards set by the legislator.


The official visit also included a visit to London Stock Exchange, where discussions were made regarding the tools used for surveillance to detect illegal practices in the market, and the ways to analyze and report them to the FCA to support additional investigations and litigation. Moreover, certain examples were discussed in terms of some illegal practices in the market and methods to handle such violations.