Showing 63 to 72 of 95 search results for market abuse investigations.

63. 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.

64. Market Abuse

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

65. 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.

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

    Press Releases Published: 30/03/2015 Last modified: 30/11/2016
    Carver knew that there was a risk of market abuse and traded anyway. ... Market abuse is a serious offence and today’s fine reflects the fact that we will not hesitate in taking action against individuals who act on inside information.

67. 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

68. From intellectual certainty to debate

    Speeches Published: 25/02/2015 Last modified: 26/02/2015
    Equally, how do you set about a national review on what are, effectively, global markets? ... guidelines. Alongside this, we have market structural changes that should also make markets safer and fairer, such as requirements for circuit breakers,

69. 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

70. FCA fines Reckitt Benckiser £539,800 for listing rule failures

    Press Releases Published: 20/01/2015 Last modified: 30/08/2015
    Georgina Philippou, the FCA's acting director of enforcement and market oversight, said:. ... The FCA has an overarching strategic objective of ensuring the relevant markets function well.

71. 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

72. The FCA’s new competition powers: what do they mean for the financial services industry?

    Speeches Published: 21/11/2014 Last modified: 09/11/2016
    Speech by Deb Jones, director of competition at the FCA, at a Scottish Financial Enterprise lunch, hosted by Maclay Murray & Spens LLP, Edinburgh. This is the text of the speech as drafted, which may differ from the delivered version.

73. 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

74. Surveillance: The FCA's expectations and toolkits

    Speeches Published: 07/10/2014 Last modified: 07/10/2014
    Speech by Patrick Spens, Head of Market Monitoring, at the British Bankers' Association Market Abuse Conference. This is the text of the speech as drafted, which may differ from the delivered version.