Showing 1 to 10 of 58 search results for Market Abuse Regulation related to market.

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. 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.

3. 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.

4. 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.

5. 2022 fines

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

6. Transforming to a forward-looking, proactive regulator

   Speeches Published: 15/07/2021 Last modified: 15/07/2021
   Speech by our CEO, Nikhil Rathi, delivered at the FCA’s Our Role and Business Plan webinar.

7. 2021 fines

   News stories Published: 04/03/2021 Last modified: 17/12/2021
   This page contains information about enforcement fines published during the calendar year ending 2021.

8. FCA and FRC joint statement reminding companies that extended financial information timelines continue to apply

   Statements Published: 27/01/2021 Last modified: 27/01/2021
   In a joint statement, the FCA and the Financial Reporting Council (FRC) have asked firms to stay aware of the current measures in place, considering the situation created by coronavirus (Covid-19).

9. Capital market regulation and coronavirus

   Speeches Published: 07/08/2020 Last modified: 07/08/2020
   Speech by Mark Steward, Executive Director of Enforcement and Market Oversight, delivered at the ShareSoc Webinar: building market and investor confidence.

10. Statement of Policy: listed companies and recapitalisation issuances during the coronavirus crisis

    Statements Published: 08/04/2020 Last modified: 28/06/2022
    The FCA today announces a series of measures aimed at assisting companies to raise new share capital in response to the coronavirus crisis while retaining an appropriate degree of investor protection.