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Showing 1 to 10 of 206 search results for Insider Dealing and Market Abuse.

  1. Preparing for Brexit in financial services: the state of play

    Speeches Published: 16/09/2019 Last modified: 16/09/2019
    Speech by Andrew Bailey, Chief Executive of the FCA, delivered at Bloomberg - London
  2. Chief Executive speaks at APM about recent work and future challenges

    Speeches Published: 20/07/2016 Last modified: 20/07/2016
    Speech by Andrew Bailey, Chief Executive at the FCA, delivered at our 2016 Annual Public Meeting.
  3. The FCA fines, publicly censures and orders Jersey resident to pay restitution for insider dealing and improper disclosure

    Press Releases Published: 15/07/2016 Last modified: 15/07/2016
    The FCA has today fined Gavin Breeze £59,557 for engaging in market abuse in the form of insider dealing and has also publicly censured him for improper disclosure. The FCA found that Mr Breeze, who holds several directorships of private companies and is also a Non-Executive Director of one AIM listed business, attempted to sell his entire 8%...
  4. Former equities trader at Schroders Investment Management sentenced for insider dealing

    Press Releases Published: 13/06/2016 Last modified: 30/11/2016
    Damian Clarke, a former equities trader at Schroders Investment Management has today been sentenced to two years imprisonment having pleaded guilty to nine counts of insider dealing. Between August 2000 and January 2013, Mr Clarke was employed initially as an assistant fund manager and, from 2006, as an equities trader. In these roles, Mr Clarke...
  5. Regulation round-up May 2016

    Newsletters Published: 19/05/2016 Last modified: 19/05/2016
    Regulation round-up is our monthly email to all regulated firms, updating you on the latest news that affects your sector. Read or download the full Regulation round-up: May 2016 Sign up to Regulation round-up monthly updates Introduction: Simon Green, Director of General Insurance & Conduct Specialists Welcome to the May issue of Regulation...
  6. 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. The FCA found that Mr Taylor, an experienced financial adviser who had worked at Towry Limited for 2.5 years, bought shares in another firm, Ashcourt Rowan plc, off the...
  7. Insider dealers sentenced in Operation Tabernula trial

    Press Releases Published: 12/05/2016 Last modified: 30/11/2016
    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, respectively, having been convicted of conspiring to insider deal between November 2006 and March 2010.
  8. Two convicted of insider dealing in Operation Tabernula trial

    Press Releases Published: 09/05/2016 Last modified: 30/11/2016
    In a case brought by the Financial Conduct Authority (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 between November 2006 and March 2010. Three other defendants, Andrew Grant Harrison, Ben Anderson and...
  9. Former equities trader pleads guilty to insider dealing

    Press Releases Published: 15/03/2016 Last modified: 30/11/2016
    Damian Clarke, a former equities trader at Schroders Investment Management Limited, pleaded guilty at Southwark Crown Court to nine counts of insider trading. He will be sentenced on 13 June 2016. Mr Clarke pleaded guilty to seven counts of insider dealing on 24 July 2015, and today (15 March) has pleaded guilty to the remaining two counts. Mark...
  10. Investor engagement in a changing regulatory landscape

    Speeches Published: 13/07/2015 Last modified: 14/07/2015
    Persons who do not follow these steps are not necessarily committing market abuse, although they are open to allegations of having done so. ... From our perspective as a regulator, insider lists are an invaluable tool when it comes to investigations of