Showing 82 to 91 of 187 search results for about market abuse.

82. Market Abuse

    https://www.fca.org.uk/markets/market-abuse

83. FCA fines Interactive Brokers (UK) Limited £1,049,412 for poor market abuse controls and failure to report suspicious client transactions

    Press Releases Published: 25/01/2018 Last modified: 25/01/2018
    The Financial Conduct Authority (FCA) has today imposed a financial penalty on Interactive Brokers (UK) (IBUK) in the amount of £1,049,412 for failings in its post-trade systems and controls for identifying and reporting suspicious transactions in

84. 2018 fines

    News stories Published: 08/01/2018 Last modified: 15/01/2019
    This table contains information about fines published during the calendar year ending 2018. The total amount of fines is £60,467,212.

85. AIM Investment Company fined for failing to disclose inside information as soon as possible

    Press Releases Published: 14/12/2017 Last modified: 14/12/2017
    The Financial Conduct Authority (FCA) has today fined Tejoori Limited (Tejoori) £70,000 for failing to inform the market of inside information as required by Article 17(1) of the Market Abuse Regulation (MAR).  This is the first fine the FCA has

86. Six guilty in relation to £2.7m boiler room scam

    Press Releases Published: 11/12/2017 Last modified: 11/12/2017
    In a criminal prosecution brought by the Financial Conduct Authority (FCA), three defendants have today been found guilty for their roles in a series of boiler rooms which led to the loss of more than £2.7m of investors’ funds. 

87. Effective global regulation in capital markets

    Speeches Published: 05/12/2017 Last modified: 11/04/2018
    Speech by Megan Butler, Director of Supervision - Investment, Wholesale and Specialists at the FCA, delivered to ICI Global Conference, London

88. FCA fines bond trader £60,000 for market abuse

    Press Releases Published: 22/11/2017 Last modified: 22/11/2017
    The Financial Conduct Authority (FCA) has imposed on Paul Walter, a former Bank of America Merrill Lynch International Limited (BAML) bond trader, a financial penalty of £60,090 for engaging in market abuse.

89. Effective compliance with the Market Abuse Regulation – a state of mind

    Speeches Published: 14/11/2017 Last modified: 15/11/2017
    We need to take all the steps we can to prevent market abuse from taking place within our markets. ... Equally, we need to take all the steps we can to prevent market abuse from taking place within our markets.

90. Where next for investment and asset management regulation?

    Speeches Published: 28/09/2017 Last modified: 02/10/2017
    Speech by Megan Butler, Executive Director of Supervision - Investment, Wholesale and Specialists at the FCA, delivered at the FT Investment Management Summit Europe 2017.

91. A Better View

    Speeches Published: 20/09/2017 Last modified: 20/09/2017
    Speech by Mark Steward, Director of Enforcement and Market Oversight at the FCA, delivered at the AFME European Compliance and Legal Conference 2017

92. Overview of competition at the FCA

    Speeches Published: 03/08/2017 Last modified: 03/08/2017
    Speech by Mary Starks, Director of Competition and Economics at the FCA, delivered at Credit Suisse.