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Showing 33 to 42 of 106 search results for Individuals with information about market abuse.
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Forms
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 -
Weighing the value of data – trade-offs, transparency and competition in the digital marketplace
Speech by Robin Finer, Acting Chief Economist at the FCA, delivered at the Respublica conference ‘The Value of Data, Competition, and Financial Services’, London. -
Upper Tribunal publishes decision on Linear Investments Limited in relation to penalty imposed by FCA
The Upper Tribunal has published its decision on the reference made by Linear Investments Limited (Linear) in relation to the penalty imposed by the Financial Conduct Authority (FCA). -
Towards more effective stewardship
Speech by Edwin Schooling Latter, Director of Markets and Wholesale Policy at the FCA, delivered at the LSE in London. -
FCA fines Goldman Sachs International £34.3 million for transaction reporting failures
Goldman Sachs International (GSI) has been fined £34,344,700 by the Financial Conduct Authority (FCA) for failing to provide accurate and timely reporting relating to 220.2 million transaction reports between November 2007 and March 2017. -
FCA fines UBS AG £27.6 million for transaction reporting failures
UBS AG (UBS) has been fined £27,599,400 by the Financial Conduct Authority (FCA) for failings relating to 135.8 million transaction reports between November 2007 and May 2017. -
Market abuse requires a dynamic response to a changing risk profile
use it today to talk about market abuse. ... is adequately mitigating market abuse risks holistically – be that through for example, a cyber-attack, or through their staff inappropriately sharing information outside the office. -
2019 fines
This page contains information about enforcement fines published during the calendar year ending 2019. -
Cyber and technology resilience in UK financial services
Speech by Megan Butler, Executive Director of Supervision – Investment, Wholesale and Specialists at the FCA, delivered at Bloomberg, London. -
Financial Conduct Authority publishes Decision Notice concerning Linear Investments Limited
The Financial Conduct Authority (FCA) has today published a Decision Notice concerning Linear Investments Limited. Linear failed to take reasonable care to organise and control its affairs responsibly and effectively to ensure potential instances of -
MiFID II and the fight against financial crime
FCA Director of Enforcement and Market Oversight, Mark Steward, delivers a speech on MIFID II and ways to fight financial crime.