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List of all forms on fca.org.uk For Handbook forms, please use the Handbook forms page. -
Market Abuse
https://www.fca.org.uk/markets/market-abuse -
From intellectual certainty to debate
Equally, how do you set about a national review on what are, effectively, global markets? ... guidelines. Alongside this, we have market structural changes that should also make markets safer and fairer, such as requirements for circuit breakers, -
Former Group Reporting and Financial Planning Manager for Logica PLC appears in court in respect of insider dealing
As part of an investigation by the Financial Conduct Authority (FCA) Ryan Tony Willmott (DOB: 17/01/1982), aged 33 from Reading, formerly Group Reporting and Financial Planning Manager for Logica PLC, appeared today (11 February 2015) before -
The retrospective application of rules: feedback on the call for examples
We asked firms to provide examples of the retrospective application of regulatory rules -
FCA Enforcement and the Wholesale Markets
Speech by Tracey McDermott, Director of Enforcement and Financial Crime at the Financial Conduct Authority (FCA), delivered at the 13th Annual FX Week Europe, London. This is the text of the speech as drafted, which may differ from the delivered -
Former Moore Capital trader pleads guilty to insider dealing
In a case brought by the Financial Conduct Authority (FCA) Julian Rifat a former senior execution trader at Moore Capital Management LLC has today pleaded guilty to an indictment reflecting 8 instances of insider dealing -
FCA charges former Treasurer and Head of Tax at Wm Morrison with insider dealing
The Financial Conduct Authority (FCA) has charged Paul Gerard Coyle (DOB: 20/04/1964), the former Treasurer and Head of Tax at Wm Morrison Supermarket plc (Morrison) with two offences of insider dealing, contrary to Section 52(1) of the Criminal -
Insider dealers ordered to pay £3.2m in confiscation
In a case brought by the Financial Conduct Authority (FCA) and heard at Southwark Crown Court Confiscation Orders (the Orders) totalling £3,249,488.71 were made by His Honour Judge Pegden QC between 10 September 2014 and 15 September 2014. -
Former equities trader charged with insider dealing
The Financial Conduct Authority (FCA) has charged Damian Frank Clarke (DOB: 06/10/1975), a former equities trader at Schroders Investment Management Limited, with 9 counts of insider dealing, contrary to Section 52(1) of the Criminal Justice Act 1993 -
FCA fines compliance officer and broker whose actions enabled market abuse to be committed in October 2010
The Financial Conduct Authority (FCA) has fined David Davis, senior partner and compliance officer of Paul E Schweder Miller & Co, £70,258, and Vandana Parikh, a broker at the same firm, £45,673, for failing to act with due skill, care and -
Four arrested in FCA insider dealing investigation
The Financial Conduct Authority (FCA) with the assistance of the Metropolitan Police has this morning executed search warrants in West London.