Showing 53 to 62 of 62 search results for information about market abuse can call.

53. Forms

    List of all forms on fca.org.uk  For Handbook forms, please use the Handbook forms page.

54. Market Abuse

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

55. FCA charges former Treasurer and Head of Tax at Wm Morrison with insider dealing

    Press Releases Published: 28/09/2014 Last modified: 05/04/2023
    The Financial Conduct Authority (FCA) has charged Paul Gerard Coyle (DOB: 20/04/1964), the former Treasurer and Head of Tax at Wm Morrison Supermarket plc (Morrison) with two offences of insider dealing, contrary to Section 52(1) of the Criminal

56. Insider dealers ordered to pay £3.2m in confiscation

    Press Releases Published: 14/09/2014 Last modified: 05/04/2023
    In a case brought by the Financial Conduct Authority (FCA) and heard at Southwark Crown Court Confiscation Orders (the Orders) totalling £3,249,488.71 were made by His Honour Judge Pegden QC between 10 September 2014 and 15 September 2014.

57. Former equities trader charged with insider dealing

    Press Releases Published: 24/06/2014 Last modified: 05/04/2023
    The Financial Conduct Authority (FCA) has charged Damian Frank Clarke (DOB: 06/10/1975), a former equities trader at Schroders Investment Management Limited, with 9 counts of insider dealing, contrary to Section 52(1) of the Criminal Justice Act 1993

58. 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

59. Four arrested in FCA insider dealing investigation

    Press Releases Published: 30/07/2013 Last modified: 05/04/2023
    The Financial Conduct Authority (FCA) with the assistance of the Metropolitan Police has this morning executed search warrants in West London.

60. Keynote address: Financial crime in the FCA world

    Speeches Published: 01/07/2013 Last modified: 18/07/2013
    Speech by Tracey McDermott, Director of Enforcement & Financial Crime, the FCA, at the FCA Financial Crime Conference, London. This is the text of the speech as drafted, which may differ from the delivered version.

61. Two arrested in FCA insider dealing investigation

    Press Releases Published: 02/05/2013 Last modified: 05/04/2023
    On the 30 April the Financial Conduct Authority (FCA) with the assistance of the City of London Police Economic Crime Directorate executed a search warrant in West London.

62. Individual sentenced to four years for insider dealing

    Press Releases Published: 11/03/2013 Last modified: 05/04/2023
    In a prosecution brought by the Financial Services Authority (FSA) and heard at Southwark Crown Court Richard Joseph, age 43, has been found guilty of 6 counts of conspiracy to deal as an insider.

63. Equities trader sentenced for insider dealing

    Press Releases Published: 07/03/2013 Last modified: 05/04/2023
    Paul Milsom, a senior equities trader, sentenced at Southwark Crown Court to 2 years imprisonment for disclosing inside information between October 2008 and March 2010

64. 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