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Showing 1 to 10 of 153 search results for Market Abuse Regulation.
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Promoting competitiveness is a juggling act
Speech by Sarah Pritchard, Executive Director, Markets and Executive Director, International at TheCityUK International Conference 2024. -
FCA decides on £5.95m fine and industry ban for Nailesh Teraiya in latest cum-ex case
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. -
FCA warns firms over anti-money laundering failings
We have warned firms about common failings we have found in financial crime controls. -
The UK listing regime - developments since the UK Listings Review and next steps for reform
Speech by Clare Cole, Director of Market Oversight, at the Westminster Business Forum. -
Cultural evolution: how culture must change to meet expectations
Speech by Emily Shepperd, Chief Operating Officer and Executive Director of Authorisations, delivered online at the Westminster Business Forum. -
FCA fines three broker firms £4,775,200 for failures relating to the detection of market abuse
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. -
FCA fines Citigroup’s international broker-dealer £12.6m for failures relating to the detection of market abuse
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. -
FCA fines Sir Christopher Gent for disclosing inside information
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. -
Critical issues in financial regulation: The FCA's perspective
Speech by our CEO, Nikhil Rathi, delivered at City Week 2022. -
Events in Ukraine – impact on financial markets
Russia’s invasion of Ukraine is having a significant impact on financial markets.