Showing 133 to 142 of 165 search results for information about market abuse.

133. Forms

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

134. Market Abuse

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

135. 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

136. MiFID II: The future of European trading in the balance

     Speeches Published: 19/09/2014 Last modified: 01/11/2016
     Speech by David Lawton, Director of Markets, at the FCA MiFID II Conference 2014. This is the text of the speech as drafted, which may differ from the delivered version.

137. 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.

138. Deutsche Bank fined £4.7m for failing to properly report transactions

     Press Releases Published: 28/08/2014 Last modified: 28/08/2014
     The FCA uses these reports in a number of ways – including identifying and investigating suspected market abuse, for example insider trading and market manipulation. ... Find out more information about the FCA.

139. Lloyds Banking Group fined £105m for serious LIBOR and other benchmark failings

     Press Releases Published: 28/07/2014 Last modified: 28/07/2014
     You can find more information about the FCA, as well as how it is different to the PRA. ... Find out more information about the FCA.

140. FCA publishes Final Notice for Ian Hannam and confirms a financial penalty of £450,000

     Press Releases Published: 22/07/2014 Last modified: 22/07/2014
     Controlling the flow of inside information is a key way of preventing market abuse and we would urge all market participants to pay close attention to the judgment.". ... Section 118(3) of the Financial Services and Markets Act 2000 (FSMA) provides that

141. 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

142. Regulating high frequency trading

     Speeches Published: 04/06/2014 Last modified: 04/06/2014
     Speech by Martin Wheatley, CEO, the FCA, at the Global Exchange and Brokerage Conference, New York. This is the text of the speech as drafted, which may differ from the delivered version.

143. Tribunal upholds decision of Financial Conduct Authority to find Ian Hannam guilty of market abuse

     Press Releases Published: 28/05/2014 Last modified: 28/05/2014
     He was thereby engaged in market abuse.". The Tribunal also commented on the standards of behaviour it expected of professional advisers when handling inside information:. ... Section 118(3) of the Financial Services and Markets Act 2000 (FSMA) provides

144. Former UBS trader banned for failings related to US$2.3 billion unauthorised trading losses by Kweku Adoboli

     Press Releases Published: 01/05/2014 Last modified: 24/11/2021
     The Financial Conduct Authority (FCA) has banned John Christopher Hughes from performing any function in relation to any regulated activity in the financial services industry.