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Showing 63 to 72 of 106 search results for Individuals with information about market abuse.

  1. Forms

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

  2. Market Abuse

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

  3. FCA Research into the issue of de-risking

    News stories Published: 24/05/2016 Last modified: 24/05/2016
    No firm, individual or business is named in the report. Overall, the report finds that:. ... We note that banks, like all firms, are subject to competition law, in particular the prohibitions on anticompetitive agreements and abuse of market power

  4. FCA fines and bans financial adviser for insider dealing

    Press Releases Published: 13/05/2016 Last modified: 13/05/2016
    The Financial Conduct Authority (FCA) has today fined Mark Taylor, a financial adviser, £36,285 and banned him for a period of at least two years for engaging in market abuse. ... Individuals with information about market abuse can call the FCA’s

  5. Insider dealers sentenced in Operation Tabernula trial

    Press Releases Published: 11/05/2016 Last modified: 05/04/2023
    In a case brought by the Financial Conduct Authority (FCA), Martyn Dodgson, a senior investment banker, and Andrew Hind, a Chartered Accountant, have today been sentenced at Southwark Crown Court to 4.5 years and 3.5 years imprisonment.

  6. Two convicted of insider dealing in Operation Tabernula trial

    Press Releases Published: 08/05/2016 Last modified: 05/04/2023
    In a case brought by the FCA and following a three-month trial at Southwark Crown Court, two defendants – a senior investment banker and a Chartered Accountant – have been convicted of conspiring to insider deal.

  7. How to report suspected market abuse as a firm or trading venue

    Markets Market abuse Published: 04/05/2016 Last modified: 11/09/2023
    Find out more about suspicious transaction and order reports (STORs), and how to submit a STOR or a market observation.

  8. Market Abuse Regulation

    Markets Market abuse Published: 03/05/2016 Last modified: 22/05/2023
    The Market Abuse Regulation (MAR) aims to increase market integrity and investor protection. Find out more about the application and structure of the MAR, market abuse offences and exemptions.

  9. Former equities trader pleads guilty to insider dealing

    Press Releases Published: 15/03/2016 Last modified: 05/04/2023
    Damian Clarke, a former equities trader at Schroders Investment Management Limited, pleaded guilty at Southwark Crown Court to nine counts of insider trading.

  10. 2016 fines

    News stories Published: 02/01/2016 Last modified: 02/02/2017
    This table contains information about fines published during the calendar year ending 2016. The total amount of fines is £22,216,446 (excluding Mr Shay Jacob Reches' additional penalty).

  11. Wholesale market policy – a year in review

    Speeches Published: 11/12/2015 Last modified: 11/12/2015
    Speech by David Lawton, Director of Markets Policy and International, FCA, delivered at the ICI Global Trading and Market Structure Conference in London on 8 December 2015. This is the text of the speech as drafted, which may differ from the

  12. Examining the future of anti-money laundering regulations

    Speeches Published: 08/12/2015 Last modified: 16/08/2021
    Speech by Rob Gruppetta at the Accuity AML Risk Reduction and Compliance Europe Conference on 8 December 2015
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