Market Abuse

Today we look at some activities that are considered illegal or an abuse to the integrity of financial markets. Such activities include insider dealing or trading, improper disclosure, misuse of information, dissemination, manipulating transactions and so on. In the United States of America, financial markets are strictly monitored by regulatory bodies such as the securities and exchange commissions (SEC), Financial Industry Regulatory Authority (FINRA), Federal Deposit Insurance Corporation (FDIC), Consumer Financial Protection Bureau (CFPB), Commodity Futures Trading Commission (CFTC), Federal Reserve System (“Fed”), Office of the Comptroller of the Currency (OCC), and National Credit Union Administration (NCUA). Activities such as those listed above are considered illegal and punishable by law based on the Jurisdiction of the various financial regulated bodies listed above.
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