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Showing 33 to 42 of 62 search results for information about market abuse can call.
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Forms
List of all forms on fca.org.uk For Handbook forms, please use the Handbook forms page. -
Market Abuse
https://www.fca.org.uk/markets/market-abuse -
Former equities trader at Schroders Investment Management sentenced for insider dealing
Damian Clarke, a former equities trader at Schroders Investment Management has today been sentenced to two years imprisonment having pleaded guilty to nine counts of insider dealing. -
FCA fines and bans financial adviser for insider dealing
The Financial Conduct Authority (FCA) has today fined Mark Taylor, a financial adviser, £36,285 and banned him for a period of at least two years for engaging in market abuse. ... Individuals with information about market abuse can call the FCA’s -
Insider dealers sentenced in Operation Tabernula trial
In a case brought by the Financial Conduct Authority (FCA), Martyn Dodgson, a senior investment banker, and Andrew Hind, a Chartered Accountant, have today been sentenced at Southwark Crown Court to 4.5 years and 3.5 years imprisonment. -
Two convicted of insider dealing in Operation Tabernula trial
In a case brought by the FCA and following a three-month trial at Southwark Crown Court, two defendants – a senior investment banker and a Chartered Accountant – have been convicted of conspiring to insider deal. -
How to report suspected market abuse as a firm or trading venue
Find out more about suspicious transaction and order reports (STORs), and how to submit a STOR or a market observation. -
Market Abuse Regulation
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. -
Former equities trader pleads guilty to insider dealing
Damian Clarke, a former equities trader at Schroders Investment Management Limited, pleaded guilty at Southwark Crown Court to nine counts of insider trading. -
Wholesale market policy – a year in review
Speech by David Lawton, Director of Markets Policy and International, FCA, delivered at the ICI Global Trading and Market Structure Conference in London on 8 December 2015. This is the text of the speech as drafted, which may differ from the -
Examining the future of anti-money laundering regulations
Speech by Rob Gruppetta at the Accuity AML Risk Reduction and Compliance Europe Conference on 8 December 2015 -
Investor engagement in a changing regulatory landscape
So, to start with developments relating to inside information. The Market Abuse Regulation will apply in the UK and across the EU from July 2016, and will replace the current Market ... In that case Mr Hannam was found to be guilty of committing market