Showing 22 to 31 of 40 search results for investigation in to Insider Dealing and Market Abuse.

22. Should you invest?

    Get your immediate finances in order before you invest. Pay off any short-term debt, have an emergency cash fund and consider investing more in your pension.

23. The FCA fines, publicly censures and orders Jersey resident to pay restitution for insider dealing and improper disclosure

    Press Releases Published: 15/07/2016 Last modified: 15/07/2016
    The FCA has today fined Gavin Breeze £59,557 for engaging in market abuse in the form of insider dealing and has also publicly censured him for improper disclosure. ... Individuals with information about market abuse can visit the FCA’s market abuse

24. FCA fines and bans financial adviser for insider dealing

    Press Releases Published: 13/05/2016 Last modified: 13/05/2016
    FCA fines and bans financial adviser for insider dealing. Press Releases First published:. ... Individuals with information about market abuse can call the FCA’s market abuse hotline on 020 7066 4900.

25. 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.

26. 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.

27. Investor engagement in a changing regulatory landscape

    Speeches Published: 13/07/2015 Last modified: 14/07/2015
    From our perspective as a regulator, insider lists are an invaluable tool when it comes to investigations of potential market abuse, as they help us to build a picture of who ... The FCA can also refer a market to the Competition and Markets Authority

28. Three charged with insider dealing

    Press Releases Published: 28/04/2015 Last modified: 05/04/2023
    As part of an investigation by the FCA Manjeet Singh Mohal, Reshim Birk and Surinder Pal Singh Sappal all of Southall, Middlesex appeared before Westminster Magistrates’ court in respect of offences of insider dealing.

29. Kenneth Carver fined £35,212 for insider dealing

    Press Releases Published: 30/03/2015 Last modified: 30/11/2016
    The Financial Conduct Authority (FCA) has today fined Kenneth Carver £35,212 for insider dealing. ... Carver knew that there was a risk of market abuse and traded anyway.

30. Former senior trader sentenced for insider dealing

    Press Releases Published: 19/03/2015 Last modified: 05/04/2023
    In a case brought by the Financial Conduct Authority (FCA), Julian Rifat – a former senior execution trader and portfolio strategist at Moore Europe Capital Management LLC – has today been sentenced at Southwark Crown Court to 19 months

31. Former Group Reporting and Financial Planning Manager for Logica PLC appears in court in respect of insider dealing

    Press Releases Published: 11/02/2015 Last modified: 05/04/2023
    As part of an investigation by the Financial Conduct Authority (FCA) Ryan Tony Willmott (DOB: 17/01/1982), aged 33 from Reading, formerly Group Reporting and Financial Planning Manager for Logica PLC, appeared today (11 February 2015) before

32. 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