Showing 121 to 130 of 153 search results for Market Abuse Regulations.

121. 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.

122. Deutsche Bank fined £4.7m for failing to properly report transactions

     Press Releases Published: 28/08/2014 Last modified: 28/08/2014
     Effective market surveillance is critical to maintain the integrity of our markets and depends on accurate and timely reporting of transactions. ... The FCA uses these reports in a number of ways – including identifying and investigating suspected

123. 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 prudential supervision of those not supervised by the Prudential

124. 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
     Controlling the flow of inside information is a key way of preventing market abuse and we would urge all market participants to pay close attention to the judgment.". ... Section 118(3) of the Financial Services and Markets Act 2000 (FSMA) provides that

125. Former equities trader charged with insider dealing

     Press Releases Published: 24/06/2014 Last modified: 05/04/2023
     The Financial Conduct Authority (FCA) has charged Damian Frank Clarke (DOB: 06/10/1975), a former equities trader at Schroders Investment Management Limited, with 9 counts of insider dealing, contrary to Section 52(1) of the Criminal Justice Act 1993

126. Regulating high frequency trading

     Speeches Published: 04/06/2014 Last modified: 04/06/2014
     Speech by Martin Wheatley, CEO, the FCA, at the Global Exchange and Brokerage Conference, New York. This is the text of the speech as drafted, which may differ from the delivered version.

127. 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
     Tribunal upholds decision of Financial Conduct Authority to find Ian Hannam guilty of market abuse. ... 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

128. Former UBS trader banned for failings related to US$2.3 billion unauthorised trading losses by Kweku Adoboli

     Press Releases Published: 01/05/2014 Last modified: 24/11/2021
     The Financial Conduct Authority (FCA) has banned John Christopher Hughes from performing any function in relation to any regulated activity in the financial services industry.

129. FCA bans and fines trader £662,700 for manipulating gilt price during QE

     Press Releases Published: 20/03/2014 Last modified: 01/04/2014
     Stevenson's abuse took advantage of a policy designed to boost the economy with no regard for the potential consequences for other market participants and, ultimately, for UK tax payers. ... The FCA has a statutory objective to ensure markets work well

130. 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