Showing 1 to 10 of 32 search results for Effective compliance with the Market Abuse Regulation.

1. FCA fines three broker firms £4,775,200 for failures relating to the detection of market abuse

   Press Releases Published: 08/12/2022 Last modified: 08/12/2022
   The FCA has fined BGC Brokers LP, GFI Brokers Limited and GFI Securities Limited for failing to ensure they had appropriate systems and controls in place to effectively detect market abuse.

2. The Financial Conduct Authority (FCA) makes senior appointments to drive its transformation

   Press Releases Published: 25/02/2021 Last modified: 26/02/2021
   Nikhil Rathi, Chief Executive of the FCA since October 2020, has now made four further appointments to the FCA’s executive team.

3. Market abuse in a time of coronavirus

   Speeches Published: 12/10/2020 Last modified: 12/10/2020
   Julia Hoggett speaking on market abuse at the Ciy & Financial Global event.

4. FCA fines former managing director £45,000 for failure to notify personal trades

   Press Releases Published: 20/12/2019 Last modified: 20/12/2019
   The FCA has fined Kevin Gorman, a former Managing Director at Braemar Shipping Services plc (Braemar), £45,000 for failure to notify personal trades.

5. Financial conduct regulation in a restless world

   Speeches Published: 08/05/2019 Last modified: 08/05/2019
   Speech by Christopher Woolard, Executive Director of Strategy and Competition at the FCA, delivered at the Deloitte conduct risk roadshow.

6. Market abuse requires a dynamic response to a changing risk profile

   Speeches Published: 13/02/2019 Last modified: 17/05/2019
   Just over a year ago I gave a speech on the Market Abuse Regime where I said that effective compliance with MAR was a state of mind – an unusual thing, perhaps, ... Without the right state of mind, I continue to believe, we will not have effective

7. New premium listing category for sovereign-controlled companies

   Press Releases Published: 08/06/2018 Last modified: 08/06/2018
   The Financial Conduct Authority (FCA) has today finalised rules creating a new category within its premium listing regime to cater for companies controlled by a shareholder that is a sovereign country.

8. Recent developments in financial markets

   Speeches Published: 01/03/2018 Last modified: 09/03/2018
   Speech by Andrew Bailey, Chief Executive of the FCA, at the Association for Financial Markets in Europe (AFME), International Capital Market Association (ICMA) and International Swaps and Derivatives Association (ISDA) breakfast briefing.

9. Effective global regulation in capital markets

   Speeches Published: 05/12/2017 Last modified: 11/04/2018
   Speech by Megan Butler, Director of Supervision - Investment, Wholesale and Specialists at the FCA, delivered to ICI Global Conference, London

10. Effective compliance with the Market Abuse Regulation – a state of mind

    Speeches Published: 14/11/2017 Last modified: 15/11/2017
    Effective compliance with the Market Abuse Regulation – a state of mind. ... the relatively newly minted Market Abuse Regulation (MAR) and more broadly the overall ‘market abuse regime’.