Showing 153 to 162 of 165 search results for information about market abuse.

153. Forms

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

154. Market Abuse

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

155. 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

156. 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.

157. Royal Bank of Scotland fined £5.6m for failing to properly report over a third of transactions

     Press Releases Published: 24/07/2013 Last modified: 17/09/2013
     The Royal Bank of Scotland (RBS) has been fined £5,620,300 by the Financial Conduct Authority (FCA) for incorrectly reporting transactions they made in wholesale markets, and in some instances, failing to report transactions at all.

158. FCA fines US based oil trader US $903K for market manipulation

     Press Releases Published: 22/07/2013 Last modified: 23/11/2021
     The Financial Conduct Authority (FCA) has fined US based High Frequency Trader, Michael Coscia, US $903,176 (£597,993) for deliberate manipulation of commodities markets.

159. 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.

160. 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.

161. FCA publishes its Annual Funding Requirement for 2013/14

     Press Releases Published: 09/04/2013 Last modified: 15/04/2013
     The Financial Conduct Authority (FCA) has announced its Annual Funding Requirement (AFR) for 2013/14. On 1 April 2013 the FCA and the Prudential Regulation Authority (PRA) replaced the Financial Services Authority (FSA). The Bank of England has

162. 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.

163. 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

164. FSA fines Nestor Healthcare Group £175,000 for clearance to deal failings

     Press Releases Published: 14/02/2013 Last modified: 07/02/2022
     The Financial Services Authority (FSA) has fined Nestor Healthcare Group Limited (Nestor) £175,000 for failing to take adequate steps to ensure that its board members and senior executives complied with the share dealing provisions of the FSA’s