Page 410 - 《期货和衍生品行业监管动态》（2022年合集）

期货和衍生品行业监管动态

wide range of market participants to assess their market abuse surveillance
arrangements.

3. Citigroup Global Markets is headquartered in London and is a

wholly-owned indirect subsidiary of Citigroup Inc, a US-based international

bank.

4. MAR is a significant piece of legislation that covers the offences of

insider dealing, unlawful disclosure of inside information, and market

manipulation. Firms that arrange or execute transactions in financial instruments

are required by Article 16(2) of MAR to establish and maintain effective

arrangements, systems, and procedures to detect and report potential market

abuse.

5. These failings meant that Citigroup Global Markets breached Article

16(2) of MAR and Principle 2 of the FCA’s Principles for Businesses – that a
firm must conduct its business with due skill, care and diligence.

https://www.fca.org.uk/news/press-releases/fca-fines-citigroups-international-broker-

dealer-failures-detection-market-abuse

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