Showing 22 to 31 of 32 search results for instances of market abuse.

22. Market Abuse

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

23. Investor engagement in a changing regulatory landscape

    Speeches Published: 13/07/2015 Last modified: 14/07/2015
    Persons who do not follow these steps are not necessarily committing market abuse, although they are open to allegations of having done so. ... In that case Mr Hannam was found to be guilty of committing market abuse by disclosing inside information

24. Former Logica PLC Manager pleads guilty to insider dealing

    Press Releases Published: 26/02/2015 Last modified: 05/04/2023
    In a case brought by the Financial Conduct Authority (FCA) Ryan Willmott, formerly Group Reporting and Financial Planning Manager for Logica PLC, has today pleaded guilty to three instances of insider dealing.

25. The retrospective application of rules: feedback on the call for examples

    News stories Published: 22/01/2015 Last modified: 19/11/2021
    We asked firms to provide examples of the retrospective application of regulatory rules

26. FCA Enforcement and the Wholesale Markets

    Speeches Published: 26/11/2014 Last modified: 30/01/2015
    Speech by Tracey McDermott, Director of Enforcement and Financial Crime at the Financial Conduct Authority (FCA), delivered at the 13th Annual FX Week Europe, London. This is the text of the speech as drafted, which may differ from the delivered

27. Former Moore Capital trader pleads guilty to insider dealing

    Press Releases Published: 07/11/2014 Last modified: 05/04/2023
    In a case brought by the Financial Conduct Authority (FCA) Julian Rifat a former senior execution trader at Moore Capital Management LLC has today pleaded guilty to an indictment reflecting 8 instances of insider dealing

28. 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
    This follows on from the judgment of the Upper Tribunal (Tribunal) which upheld the decision of the FCA that Mr Hannam engaged in two instances of market abuse by disclosing inside ... Section 118(3) of the Financial Services and Markets Act 2000 (FSMA)

29. 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
    The Upper Tribunal (Tribunal) has upheld the decision of the Financial Conduct Authority (FCA) that Ian Hannam engaged in two instances of market abuse. ... It remains open to Mr Hannam to appeal this judgement. The Tribunal found that Mr Hannam had

30. 2014 fines

    News stories Published: 02/01/2014 Last modified: 31/08/2016
    This table contains information about fines published during the calendar year ended December 2014. The total amount of fines is £1,471,431,800.

31. Statement on wholesale gas market manipulation

    Statements Published: 07/11/2013 Last modified: 07/11/2013
    The physical gas market is directly regulated by Ofgem for market abuse purposes, with the FCA responsible for regulating the financial derivatives based on this market. ... We have each concluded that we could find no evidence in this instance of market

32. 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.