Showing 103 to 112 of 165 search results for information about market abuse.

103. Forms

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

104. Market Abuse

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

105. Insider dealers sentenced in Operation Tabernula trial

     Press Releases Published: 11/05/2016 Last modified: 05/04/2023
     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.

106. Two convicted of insider dealing in Operation Tabernula trial

     Press Releases Published: 08/05/2016 Last modified: 05/04/2023
     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.

107. 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.

108. 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.

109. Former equities trader pleads guilty to insider dealing

     Press Releases Published: 15/03/2016 Last modified: 05/04/2023
     Damian Clarke, a former equities trader at Schroders Investment Management Limited, pleaded guilty at Southwark Crown Court to nine counts of insider trading.

110. FCA fines and restricts W H Ireland Limited for market abuse risks

     Press Releases Published: 23/02/2016 Last modified: 23/02/2016
     or the full breadth of its market abuse risks, were set too narrowly to be effective and produced exceptions that were not reviewed in a timely and consistent manner. ... In addition, throughout this period, the FCA had also been communicating widely

111. 2016 fines

     News stories Published: 02/01/2016 Last modified: 02/02/2017
     This table contains information about fines published during the calendar year ending 2016. The total amount of fines is £22,216,446 (excluding Mr Shay Jacob Reches' additional penalty).

112. Wholesale market policy – a year in review

     Speeches Published: 11/12/2015 Last modified: 11/12/2015
     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

113. Examining the future of anti-money laundering regulations

     Speeches Published: 08/12/2015 Last modified: 16/08/2021
     Speech by Rob Gruppetta at the Accuity AML Risk Reduction and Compliance Europe Conference on 8 December 2015

114. FCA consults on Market Abuse Regulation policy proposals and Handbook changes

     Press Releases Published: 05/11/2015 Last modified: 05/11/2015
     From this date the principal legal requirements relating to market abuse in the UK will be set out in the EU Market Abuse Regulation and its implementing measures. ... CP15/35: Policy proposals and Handbook changes related to the implementation of the