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MAR 1.3 Behaviour

MAR 1.3.1UK

The types of behaviour which come within the scope of the market abuse regime include, but are not limited to, the following:

  1. (1)

    dealing in qualifying investments;

  2. (2)

    dealing in commodities or investments which are the subject matter of, or whose price or value is determined by reference to, a qualifying investment (in this case, the commodity will be a 'relevant product' in relation to the qualifying investment);

  3. (3)

    arranging deals in respect of qualifying investments;

  4. (4)

    causing or procuring or advising others to deal in qualifying investments;

  5. (5)

    making statements or representations or otherwise disseminating information which is likely to be regarded by the regular user as relevant to determining the terms on which transactions in qualifying investments should be effected;

  6. (6)

    providing corporate finance advice and conducting corporate finance activities in qualifying investments; and

  7. (7)

    managing investments which are qualifying investments belonging to another.

MAR 1.3.2ERP

Behaviour includes both action and inaction. For example, inaction may amount to market abuse in circumstances where a person is under a legal or regulatory obligation to make a particular disclosure and fails to do so.