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March 17, 2020

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We would like to reassure you that Howells are prepared for potential business disruption as a result of Covid-19.

As part of our ISO 27001 accreditation, we are required to operate a Disaster Recovery plan for both major and minor incidents. We review and test this pro...

The FCA process

The penalties – a live example (or, how to wipe out the entire value of your share sale!)

In our article dated 7 January we highlighted details of the first case brought by the FCA in respect of article 19(1) of the Market Abuse Regulation. 

Full details o...

PDMR at Braemar Shipping Services plc (Braemar) receives £45,000 penalty.

Article 19(1) of MAR requires persons discharging managerial responsibilities (PDMRs) within an issuer and persons closely associated with them (PCAs) to notify the issuer and the FCA of transacti...

November 2019 saw the roll out of IMTrack V2.

We ran client focus groups to hear what our clients wanted to see in their systems, and listened to what they were telling us.  IMTrack V2 is the result!

Since the introduction of MAR in 2016, the way clients manage insider l...

On the 14 November, we joined a Roundtable discussion with Linklaters and a number of listed companies, many of whom are Howells IMTrack clients.

ESMA launched a consultation on how the market abuse rules are working in practice. This process is likely to result in reco...

On 3 October 2019, ESMA published a consultation paper (ESMA70-156-1459) on the Market Abuse Regulation (596/2014).

ESMA has been requested to provide technical advice to the European Commission regarding the provisions of MAR and their application in the...

Insider trading has been in the news recently. The conviction and sentencing of a former UBS compliance officer and the family friend and experienced day trader of financial securities to whom she passed information has been widely reported.

https://www.fca.org.uk/news/...

Whilst most commentators have concentrated on how the insider list rules contained in the Market Abuse Regulations have been taken up by large quoted companies, the fact is that small and mid-cap companies make up the vast majority of quoted companies in the UK (about...

6 May 2019

On Friday 3rd May Harrogate’s MP, Andrew Jones, visited local business Howells Associates at their offices on Freemans Way in Harrogate Business Park.

“It was great to visit Howells Associates and meet their team. The company is a fine example of how our local entrepren...

On 16 April 2019, the FCA published its 23rd Primary Market Bulletin.  The bulletin summarises the feedback received by the FCA on the issue of identifying and handling inside information during the preparation of periodic financial reports.

The Background

The Market Abu...

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