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Showing 33 to 42 of 95 search results for market abuse investigations.
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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. -
Market Abuse
https://www.fca.org.uk/markets/market-abuse -
Upper Tribunal publishes decision on Linear Investments Limited in relation to penalty imposed by FCA
The Upper Tribunal has published its decision on the reference made by Linear Investments Limited (Linear) in relation to the penalty imposed by the Financial Conduct Authority (FCA). -
Partly contested cases, the pipeline and AML investigations
FCA Director of Enforcement and Market Oversight, Mark Steward, delivers a speech on MIFID II and ways to fight financial crime. -
Towards more effective stewardship
Speech by Edwin Schooling Latter, Director of Markets and Wholesale Policy at the FCA, delivered at the LSE in London. -
Market abuse requires a dynamic response to a changing risk profile
While my last speech on this topic focused on laying out the role that minimising market abuse plays in enhancing trust in our markets, this year, I want to delve deeper ... All forms of behaviour can be found in our market abuse investigations, from -
Financial Conduct Authority publishes Decision Notice concerning Linear Investments Limited
The Financial Conduct Authority (FCA) has today published a Decision Notice concerning Linear Investments Limited. Linear failed to take reasonable care to organise and control its affairs responsibly and effectively to ensure potential instances of -
MiFID II and the fight against financial crime
FCA Director of Enforcement and Market Oversight, Mark Steward, delivers a speech on MIFID II and ways to fight financial crime. -
AIM Investment Company fined for failing to disclose inside information as soon as possible
The Financial Conduct Authority (FCA) has today fined Tejoori Limited (Tejoori) £70,000 for failing to inform the market of inside information as required by Article 17(1) of the Market Abuse Regulation (MAR). This is the first fine the FCA has -
Six guilty in relation to £2.7m boiler room scam
In a criminal prosecution brought by the Financial Conduct Authority (FCA), three defendants have today been found guilty for their roles in a series of boiler rooms which led to the loss of more than £2.7m of investors’ funds. -
FCA fines bond trader £60,000 for market abuse
The Financial Conduct Authority (FCA) has imposed on Paul Walter, a former Bank of America Merrill Lynch International Limited (BAML) bond trader, a financial penalty of £60,090 for engaging in market abuse. -
Effective compliance with the Market Abuse Regulation – a state of mind
We need to take all the steps we can to prevent market abuse from taking place within our markets. ... Equally, we need to take all the steps we can to prevent market abuse from taking place within our markets.