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Showing 21 to 30 of 61 search results for Market Abuse Regulation - a state.
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Market abuse requires a dynamic response to a changing risk profile
Speech delivered by Julia Hoggett, Director of Market Oversightat the FCA, at theAFME Implementation of the Market Abuse Regulation in the UK event, London. ... Speaker: Julia Hoggett, Director, Market Oversight. Event: Implementation of the Market Abuse -
New premium listing category for sovereign-controlled companies
The Financial Conduct Authority (FCA) has today finalised rules creating a new category within its premium listing regime to cater for companies controlled by a shareholder that is a sovereign country. -
Recent developments in financial markets
Speech by Andrew Bailey, Chief Executive of the FCA, at the Association for Financial Markets in Europe (AFME), International Capital Market Association (ICMA) and International Swaps and Derivatives Association (ISDA) breakfast briefing. -
Effective global regulation in capital markets
Speech by Megan Butler, Director of Supervision - Investment, Wholesale and Specialists at the FCA, delivered to ICI Global Conference, London -
FCA fines bond trader £60,000 for market abuse
The Financial Conduct Authority (FCA) has imposed on Paul Walter, a former Bank of America Merrill Lynch International Limited (BAML) bond trader, a financial penalty of £60,090 for engaging in market abuse. -
Effective compliance with the Market Abuse Regulation – a state of mind
Effective compliance with the Market Abuse Regulation – a state of mind. ... market. One of the fundamental elements of the state of mind of the market abuse regime is the recognition that all elements of the capital markets chain play a critical role -
FCA publishes annual report and accounts 2016/17
The FCA has published its Annual Report and Accounts, which looks back on the key pieces of work undertaken by the organisation throughout 2016/17. -
Our investigations – the evolving approach
Speech by Jamie Symington, Director of Investigations at the FCA, at the Legal Week Banking Litigation and Regulation Forum. -
Speech: The economic challenge of regulating the mortgage market
Consumers in the UK mortgage market have not experienced systematic mis-selling of the kind that has blighted some markets for investment and insurance markets. ... This decision-making is hard to understand and hard to influence sufficiently, through -
Speech: Culture in UK banking – regulatory priorities
Or traditional practices or rules of various kinds might make markets inefficient economically. ... This approach might be helpful in financial regulation in deterring abuse of unintended loopholes.