Showing 131 to 140 of 153 search results for Market Abuse Regulation.

131. Fraudster Benjamin Wilson sentenced to seven years imprisonment following successful FCA prosecution

     Press Releases Published: 14/02/2014 Last modified: 22/11/2021
     Benjamin Wilson of Bournemouth, Dorset sentenced to seven years at Southwark Crown Court for defrauding investors of over £21m, following previous guilty pleas for fraud, forgery and operating a collective investment scheme without authorisation

132. 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

133. Tribunal bans former trader for lying to the FCA and the Tribunal

     Press Releases Published: 17/12/2013 Last modified: 19/12/2013
     The FCA appealed the Tribunal’s determination regarding Hobbs’ fitness and propriety (but not its finding on market abuse) to the Court of Appeal. ... Kerr came to a settlement with the FSA on the basis that his role in the relevant trading amounted

134. Modelling integrity through culture

     Speeches Published: 19/11/2013 Last modified: 19/11/2013
     Speech by Martin Wheatley, Chief Executive of the FCA, at the FCA Markets Conference 2013. This is the text of the speech as drafted, which may differ from the delivered version.

135. 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.

136. The FCA strengthens the listing rules to enhance protection for shareholders

     Press Releases Published: 05/11/2013 Last modified: 27/11/2013
     By safeguarding minority interests from abuse by controlling shareholders, these changes will promote market integrity and empower minority shareholders to hold the companies they invest in to account.”. ... The FCA has an overarching strategic

137. Financial services regulation and enforcement: recent developments and emerging issues

     Speeches Published: 09/10/2013 Last modified: 10/10/2013
     Speech by Tracey McDermott, Director of Enforcement and Financial Crime at the NERA Economic Consulting seminar, London. This is the text of the speech as drafted, which may differ from the delivered version.

138. FCA decides to fine Tariq Carrimjee in relation to market abuse committed by Rameshkumar Goenka in October 2010

     Press Releases Published: 08/08/2013 Last modified: 17/09/2013
     The Financial Conduct Authority (FCA) has today published a Decision Notice for Tariq Carrimjee of Somerset Asset Management LLP in relation to assisting Goenka.

139. FCA fines compliance officer and broker whose actions enabled market abuse to be committed in October 2010

     Press Releases Published: 08/08/2013 Last modified: 17/09/2013
     The Financial Conduct Authority (FCA) has fined David Davis, senior partner and compliance officer of Paul E Schweder Miller & Co, £70,258, and Vandana Parikh, a broker at the same firm, £45,673, for failing to act with due skill, care and

140. Four arrested in FCA insider dealing investigation

     Press Releases Published: 30/07/2013 Last modified: 05/04/2023
     The Financial Conduct Authority (FCA) with the assistance of the Metropolitan Police has this morning executed search warrants in West London.