Showing 1 to 10 of 152 search results for Market Abuse Regulation.

1. FCA decides on £5.95m fine and industry ban for Nailesh Teraiya in latest cum-ex case

   Press Releases Published: 18/03/2024 Last modified: 18/03/2024
   Mr Teraiya has referred his Decision Notice to the Upper Tribunal. Any findings in the Decision Notice are therefore provisional and reflect the FCA’s belief as to what occurred and how it considers his behaviour should be characterised.

2. FCA warns firms over anti-money laundering failings

   News stories Published: 05/03/2024 Last modified: 05/03/2024
   We have warned firms about common failings we have found in financial crime controls.

3. The UK listing regime - developments since the UK Listings Review and next steps for reform

   Speeches Published: 06/02/2024 Last modified: 06/02/2024
   Speech by Clare Cole, Director of Market Oversight, at the Westminster Business Forum.

4. Cultural evolution: how culture must change to meet expectations

   Speeches Published: 26/06/2023 Last modified: 26/06/2023
   Speech by Emily Shepperd, Chief Operating Officer and Executive Director of Authorisations, delivered online at the Westminster Business Forum.

5. FCA fines three broker firms £4,775,200 for failures relating to the detection of market abuse

   Press Releases Published: 08/12/2022 Last modified: 08/12/2022
   The FCA has fined BGC Brokers LP, GFI Brokers Limited and GFI Securities Limited for failing to ensure they had appropriate systems and controls in place to effectively detect market abuse.

6. FCA fines Citigroup’s international broker-dealer £12.6m for failures relating to the detection of market abuse

   Press Releases Published: 19/08/2022 Last modified: 19/08/2022
   The FCA has fined Citigroup Global Markets Limited (Citigroup Global Markets) £12,553,800 for failing to properly implement Market Abuse Regulation (MAR) requirements, relating to the detection of market abuse.

7. FCA fines Sir Christopher Gent for disclosing inside information

   Press Releases Published: 05/08/2022 Last modified: 05/08/2022
   The Financial Conduct Authority (FCA) has fined Sir Christopher Gent, former non-executive Chairman of ConvaTec Group Plc, £80,000 for unlawfully disclosing inside information.

8. Critical issues in financial regulation: The FCA's perspective

   Speeches Published: 26/04/2022 Last modified: 28/04/2022
   Speech by our CEO, Nikhil Rathi, delivered at City Week 2022.

9. Events in Ukraine – impact on financial markets

   Statements Published: 03/03/2022 Last modified: 03/03/2022
   Russia’s invasion of Ukraine is having a significant impact on financial markets.

10. 2022 fines

    News stories Published: 28/02/2022 Last modified: 04/01/2023
    Enforcement fines published in 2022.