Showing 43 to 52 of 106 search results for Individuals with information about market abuse.

43. Forms

    List of all forms on fca.org.uk  For Handbook forms, please use the Handbook forms page.

44. Market Abuse

    https://www.fca.org.uk/markets/market-abuse

45. 2018 fines

    News stories Published: 08/01/2018 Last modified: 15/01/2019
    This table contains information about fines published during the calendar year ending 2018. The total amount of fines is £60,467,212.

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

    Speeches Published: 14/11/2017 Last modified: 15/11/2017
    We need to take all the steps we can to prevent market abuse from taking place within our markets. ... Equally, we need to take all the steps we can to prevent market abuse from taking place within our markets.

47. Where next for investment and asset management regulation?

    Speeches Published: 28/09/2017 Last modified: 02/10/2017
    Speech by Megan Butler, Executive Director of Supervision - Investment, Wholesale and Specialists at the FCA, delivered at the FT Investment Management Summit Europe 2017.

48. A Better View

    Speeches Published: 20/09/2017 Last modified: 20/09/2017
    Speech by Mark Steward, Director of Enforcement and Market Oversight at the FCA, delivered at the AFME European Compliance and Legal Conference 2017

49. Overview of competition at the FCA

    Speeches Published: 03/08/2017 Last modified: 03/08/2017
    Speech by Mary Starks, Director of Competition and Economics at the FCA, delivered at Credit Suisse.

50. Our investigations – the evolving approach

    Speeches Published: 15/06/2017 Last modified: 15/06/2017
    Speech by Jamie Symington, Director of Investigations at the FCA, at the Legal Week Banking Litigation and Regulation Forum.

51. FCA bans and fines two individuals for market abuse

    Press Releases Published: 07/04/2017 Last modified: 07/04/2017
    The Financial Conduct Authority (FCA) has banned and imposed financial penalties on two former Worldspreads Limited (WSL) employees. WSL, which operated a spread betting business, collapsed in March 2012.    

52. The expanding scope of individual accountability for corporate misconduct

    Speeches Published: 03/04/2017 Last modified: 05/04/2017
    Speech by Mark Steward, Director of Enforcement and Market Oversight at the FCA, delivered at the New York University Program on Corporate Compliance and Enforcement

53. 2017 fines

    News stories Published: 31/01/2017 Last modified: 07/03/2019
    This table contains information about fines published during the calendar year ending 2017. The total amount of fines is £229,515,303. 

54. Mark Lyttleton sentenced to 12 months imprisonment for insider dealing

    Press Releases Published: 21/12/2016 Last modified: 21/12/2016
    In a prosecution brought by the Financial Conduct Authority (FCA) Mark Lyttleton, a former Equity Portfolio Manager at BlackRock Investment Management (UK) Limited, has today been sentenced to 18 months reduced with credit to 12 months on two counts