Showing 1 to 12 of 14 search results for detect and investigate suspected market abuse.

1. Should you invest?

   Get your immediate finances in order before you invest. Pay off any short-term debt, have an emergency cash fund and consider investing more in your pension.

2. Market Abuse

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

3. How to report suspected market abuse as an individual

   Markets Market abuse Published: 12/06/2020 Last modified: 11/09/2023
   Find out the different ways in which an individual can report a concern to us.

4. Best practice note - Identifying, controlling and disclosing inside information

   Markets Published: 09/06/2020 Last modified: 09/01/2023
   This note is for government departments, industry regulators and public bodies to help them in complying with the relevant obligations under MAR.

5. Market integrity and strategic approach

   Speeches Published: 07/02/2020 Last modified: 20/03/2024
   FCA Director of Enforcement and Market Oversight, Mark Steward, delivers a speech on the confluence of EU, UK and US law and practice in our securities markets.

6. 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

7. 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.

8. 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.

9. FCA Enforcement and the Wholesale Markets

   Speeches Published: 26/11/2014 Last modified: 30/01/2015
   Speech by Tracey McDermott, Director of Enforcement and Financial Crime at the Financial Conduct Authority (FCA), delivered at the 13th Annual FX Week Europe, London. This is the text of the speech as drafted, which may differ from the delivered

10. FSA issues fines totaling £250,000 on Plus500UK Limited (Plus500) and James Sharp and Company (James Sharp)

    Press Releases Published: 24/10/2012 Last modified: 22/07/2013
    The Financial Services Authority (FSA) has fined two firms, Plus500UK Limited (Plus500) £205,128 and James Sharp and Company (James Sharp) £49,000 for failing to provide accurate and timely transaction reports to the FSA in respect of all the

11. FSA fines spread bet broker £490,000 for transaction reporting failures

    Press Releases Published: 20/01/2011 Last modified: 22/07/2013
    The Financial Services Authority (FSA) has fined City Index Limited (City Index) £490,000 for failing to provide accurate transaction reports to the FSA.

12. FSA fines Société Générale £1.575 million for failures in transaction reporting

    Press Releases Published: 25/08/2010 Last modified: 22/07/2013
    The Financial Services Authority (FSA) has fined the London branch of Société Générale (SocGen) £1,575,000 for failing to provide accurate transaction reports to the FSA. The fine reflects the seriousness of SocGen’s failure to submit