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Market Abuse
https://www.fca.org.uk/markets/market-abuse -
Former equities trader pleads guilty to insider dealing
Damian Clarke, a former equities trader at Schroders Investment Management Limited, pleaded guilty at Southwark Crown Court to nine counts of insider trading. -
Wholesale market policy – a year in review
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 -
Examining the future of anti-money laundering regulations
Speech by Rob Gruppetta at the Accuity AML Risk Reduction and Compliance Europe Conference on 8 December 2015 -
Fair and effective markets review
And it is your market, and those like it that formed the focal points for the Fair and Effective Markets Review, or ‘FEMR’ as we call it. ... For example, closing the gap that market abuse rules do not cover spot FX markets. -
Investor engagement in a changing regulatory landscape
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 -
Three charged with insider dealing
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. -
Former senior trader sentenced for insider dealing
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 -
Consumer Credit and the FCA: one year on
Second, understanding how real people interact with markets, so particularly using areas like behavioural economics to improve outcomes. ... viability of the market under different scenarios; and the potential risk of vulnerable people turning to -
Former Group Treasurer and Head of Tax at Morrisons plc sentenced to 12 months imprisonment for insider dealing
Paul Coyle, the former Group Treasurer and Head of Tax at Wm Morrison Supermarkets plc, pleaded guilty to two counts of insider dealing and has been sentenced to 12 months imprisonment. He was also ordered to pay £15,000 towards prosecution costs -
Former Logica PLC Manager pleads guilty to insider dealing
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.