Ch 3. Legislation and Regulation

Question 1

The Transparency Directive defines a notifiable interest as:

Answer 1

5% (EU)

Question 2

The ‘Disclosure and Transparency Rules’ define notifiable interest as:

Answer 2

3% (UK)

Question 3

Does intent need to be proved for market abuse to impose disciplinary action?

Answer 3

No, it is an effect-based legislation