Showing 61 to 70 of 80 search results for Market Abuse Regime.

61. The FCA’s new competition powers: what do they mean for the financial services industry?

    Speeches Published: 21/11/2014 Last modified: 09/11/2016
    Speech by Deb Jones, director of competition at the FCA, at a Scottish Financial Enterprise lunch, hosted by Maclay Murray & Spens LLP, Edinburgh. This is the text of the speech as drafted, which may differ from the delivered version.

62. Surveillance: The FCA's expectations and toolkits

    Speeches Published: 07/10/2014 Last modified: 07/10/2014
    Speech by Patrick Spens, Head of Market Monitoring, at the British Bankers' Association Market Abuse Conference. This is the text of the speech as drafted, which may differ from the delivered version.

63. MiFID II: The future of European trading in the balance

    Speeches Published: 19/09/2014 Last modified: 01/11/2016
    Speech by David Lawton, Director of Markets, at the FCA MiFID II Conference 2014. This is the text of the speech as drafted, which may differ from the delivered version.

64. Insider dealers ordered to pay £3.2m in confiscation

    Press Releases Published: 14/09/2014 Last modified: 05/04/2023
    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.

65. Lloyds Banking Group fined £105m for serious LIBOR and other benchmark failings

    Press Releases Published: 28/07/2014 Last modified: 28/07/2014
    This breached two of the FCA’s fundamental principles for businesses, which underpin its objectives to ensure that markets function effectively, and to promote market integrity. ... The FCA has an overarching strategic objective of ensuring the

66. FCA publishes Final Notice for Ian Hannam and confirms a financial penalty of £450,000

    Press Releases Published: 22/07/2014 Last modified: 22/07/2014
    Section 118(3) of the Financial Services and Markets Act 2000 (FSMA) provides that it is market abuse for an insider to disclose inside information to another person otherwise than in ... Further details of the market abuse regime.

67. Tribunal upholds decision of Financial Conduct Authority to find Ian Hannam guilty of market abuse

    Press Releases Published: 28/05/2014 Last modified: 28/05/2014
    Section 118(3) of the Financial Services and Markets Act 2000 (FSMA) provides that it is market abuse for an insider to disclose inside information to another person otherwise than in ... Further details of the market abuse regime.

68. Regulatory Developments and the Changing Market Structure

    Speeches Published: 12/03/2014 Last modified: 12/03/2014
    Speech by David Lawton, Director of Markets at the FCA, at the American Bar Association Capital Markets Conference, Law Society, London, Thursday 27 February 2014. This is the text of the speech as drafted, which may differ from the delivered version

69. Price: the cornerstone of markets

    Speeches Published: 03/02/2014 Last modified: 18/01/2017
    Speech by David Lawton, Director of Markets of the FCA at the International Capital Market Association (ICMA) Capital Market Lecture Series 2014 on Monday 3 February 2014. This is the text of the speech as drafted, which may differ from the

70. Evolving the FCA's approach to markets regulation

    Speeches Published: 19/11/2013 Last modified: 19/11/2013
    Keynote speech by David Lawton, Director of Markets, at the FCA Markets Conference 2013. This is the text of the speech as drafted, which may differ from the delivered version.