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Rapid Response Team: 0800 559 3500
International: +44 (0)203 947 1539
Rapid Response Team: 0800 559 3500
International: +44 (0)203 947 1539

Market Manipulation Investigations

Spoofing and other market manipulation remains a top priority for law enforcement agencies. The line separating legal from illegal trading is often unclear. Avoiding or defending against regulatory action requires deep understanding of markets, trading strategies and the legal framework.

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Overview

Market Manipulation Defence and Investigations

Market manipulation is an ever-evolving area. The changing nature and increased globalisation of markets mean that the scope for manipulation, and the possibility of being accused of it, are also subject to variation.

Successfully avoiding, or defending against, regulatory action in this area requires an in-depth understanding of trading and market mechanics.  It also requires experience facing off against the  regulatory agencies that oversee the markets and impose criminal and civil penalties.

Rahman Ravelli specialises in guiding traders, investors and financial firms through the vast amounts of market manipulation regulation in two of the world’s largest and most active markets: the United States and the United Kingdom.  Our cross-border team has vast experience of representing clients facing scrutiny or legal action from these countries’ primary market regulators, including the CFTC, SEC, DOJ, SFO, and FCA.

We also routinely advise clients involved in internal investigations related to potential market-related misconduct.  Our aggressive approach to market manipulation matters starts with a deep dive into the conduct at issue to fully understand the trading strategies that may lay behind it.  We then work with our clients and our network of trading experts to craft a defence narrative explaining why no laws or regulations were violated.

A leading fraud and corporate crime defence firm.
The Times Best Law Firms 2021

Legal Articles

Spoofing and Market Manipulation - 2020 Year in Review
Among the many changes in 2020, at least one thing remained constant: US law enforcement's focus on "spoofing" and similar variations of market manipulation. The CFTC, SEC, and DOJ all notched importa...
Market Manipulation Investigations, Financial Conduct Authority (FCA) Investigations Solicitors, Regulated Professionals
36 min read - Published Dec 2020
Serious Fraud Office ends its British American Tobacco investigation
The SFO is no longer investigating bribery allegations involving the tobacco company, citing the evidential test for prosecution. Syed Rahman of Rahman Ravelli outlines the test.
Serious Fraud Office (SFO) Investigations
2 min read - Published Jan 2021
Investigating bribery
Aziz Rahman and Joshua Ray of Rahman Ravelli detail the SFO’s powers and how companies should approach internally investigating allegations of bribery
Corporate Investigations, Serious Fraud Office (SFO) Investigations
8 min read - Published Jan 2021
The collateral purpose rule of disclosed documents
Nicola Sharp of Rahman Ravelli considers a case that may offer victims of fraud more options for recourse.
Asset Tracing & Recovery
2 min read - Published Jan 2021

Events

WEBINAR: Market Manipulation – Legal Developments and Defence Strategies

Rahman Ravelli hosted a webinar analysing market manipulation regulation in the US and UK. Rahman Ravelli's Joshua Ray and Neil Williams joined an international panel of experts for a webinar to examine recent criminal and civil regulatory actions against spoofing and other forms of market manipulation.

9th December 2020

Watch the Video