Showing 53 to 62 of 95 search results for market abuse investigations.

53. 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.

54. Market Abuse

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

55. 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

56. FCA fines and bans financial adviser for insider dealing

    Press Releases Published: 13/05/2016 Last modified: 13/05/2016
    The Financial Conduct Authority (FCA) has today fined Mark Taylor, a financial adviser, £36,285 and banned him for a period of at least two years for engaging in market abuse. ... Individuals with information about market abuse can call the FCA’s

57. 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.

58. 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.

59. How to report suspected market abuse as a firm or trading venue

    Markets Market abuse Published: 04/05/2016 Last modified: 11/09/2023
    Find out more about suspicious transaction and order reports (STORs), and how to submit a STOR or a market observation.

60. Market Abuse Regulation

    Markets Market abuse Published: 03/05/2016 Last modified: 22/05/2023
    The Market Abuse Regulation (MAR) aims to increase market integrity and investor protection. Find out more about the application and structure of the MAR, market abuse offences and exemptions.

61. 15 month suspended sentence for director of debt management firm

    News stories Published: 28/04/2016 Last modified: 28/04/2016
    A director of three debt management firms has been sentenced to 15 months in prison, suspended for two years, and 200 hours of community service for fraud by abuse of position. ... The case was brought by South Wales Police following its own investigation

62. The Financial Conduct Authority (FCA) bans Kweku Mawuli Adoboli from the financial services industry

    Press Releases Published: 15/10/2015 Last modified: 18/11/2021
    Following convictions on 20 November 2012 of two counts of fraud by abuse of position, the Financial Conduct Authority (FCA) has banned Kweku Mawuli Adoboli from performing any function in relation to any regulated financial activity.

63. 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

64. Debating trust and confidence in banking

    Speeches Published: 28/05/2015 Last modified: 28/05/2015
    Speech by Martin Wheatley, Chief Executive of the FCA, delivered at the ResPublica Vocational Banking event in London. This is the text of the speech as drafted, which may differ from the delivered version.