Showing 22 to 25 of 25 search results for committed market abuse in relation.

22. Market Abuse

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

23. Former Moore Capital trader pleads guilty to insider dealing

    Press Releases Published: 07/11/2014 Last modified: 05/04/2023
    In a case brought by the Financial Conduct Authority (FCA) Julian Rifat a former senior execution trader at Moore Capital Management LLC has today pleaded guilty to an indictment reflecting 8 instances of insider dealing

24. FCA decides to fine Tariq Carrimjee in relation to market abuse committed by Rameshkumar Goenka in October 2010

    Press Releases Published: 08/08/2013 Last modified: 17/09/2013
    The Financial Conduct Authority (FCA) has today published a Decision Notice for Tariq Carrimjee of Somerset Asset Management LLP in relation to assisting Goenka.

25. FCA fines compliance officer and broker whose actions enabled market abuse to be committed in October 2010

    Press Releases Published: 08/08/2013 Last modified: 17/09/2013
    The Financial Conduct Authority (FCA) has fined David Davis, senior partner and compliance officer of Paul E Schweder Miller & Co, £70,258, and Vandana Parikh, a broker at the same firm, £45,673, for failing to act with due skill, care and

26. 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