Showing 12 to 20 of 20 search results for commit market abuse.

12. Market Abuse

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

13. Financial Conduct Authority publishes Decision Notice concerning Linear Investments Limited

    Press Releases Published: 27/09/2018 Last modified: 27/09/2018
    The Financial Conduct Authority (FCA) has today published a Decision Notice concerning Linear Investments Limited. Linear failed to take reasonable care to organise and control its affairs responsibly and effectively to ensure potential instances of

14. MiFID II and the fight against financial crime

    Speeches Published: 11/07/2018 Last modified: 20/07/2018
    FCA Director of Enforcement and Market Oversight, Mark Steward, delivers a speech on MIFID II and ways to fight financial crime.

15. 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. ... It is important to recognise that ignorance of the requirements of MAR, or the absence of intent to commit market abuse, are not a defence to breaches

16. How to report suspected market abuse as a firm or trading venue

    Markets Market abuse Published: 04/05/2016 Last modified: 11/09/2023
    Find out more about suspicious transaction and order reports (STORs), and how to submit a STOR or a market observation.

17. Market Abuse Regulation

    Markets Market abuse Published: 03/05/2016 Last modified: 22/05/2023
    The Market Abuse Regulation (MAR) aims to increase market integrity and investor protection. Find out more about the application and structure of the MAR, market abuse offences and exemptions.

18. Tribunal partly upholds the Financial Conduct Authority’s decision to fine Tariq Carrimjee for assisting a client to commit market abuse

    Press Releases Published: 06/03/2015 Last modified: 06/03/2015
    Tribunal partly upholds the Financial Conduct Authority’s decision to fine Tariq Carrimjee for assisting a client to commit market abuse. ... In November 2011 Goenka was fined $9,621,240 (approximately £6 million) for market abuse.

19. Former Logica PLC Manager pleads guilty to insider dealing

    Press Releases Published: 26/02/2015 Last modified: 05/04/2023
    In a case brought by the Financial Conduct Authority (FCA) Ryan Willmott, formerly Group Reporting and Financial Planning Manager for Logica PLC, has today pleaded guilty to three instances of insider dealing.

20. 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
    It was not part of the Authority’s case that Mr Hannam deliberately set out to commit market abuse or that Mr Hannam lacked honesty or integrity. ... Section 118(3) of the Financial Services and Markets Act 2000 (FSMA) provides that it is market abuse

21. Monitoring orders and transactions – our expectations of firms

    Speeches Published: 31/01/2013 Last modified: 29/03/2013
    Speech by Patrick Spens, Head of Market Monitoring, the FSA, at the Futures Options Association Compliance Forum