Showing 73 to 82 of 95 search results for market abuse investigations.

73. 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.

74. Market Abuse

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

75. Deutsche Bank fined £4.7m for failing to properly report transactions

    Press Releases Published: 28/08/2014 Last modified: 28/08/2014
    Effective market surveillance is critical to maintain the integrity of our markets and depends on accurate and timely reporting of transactions. ... The FCA uses these reports in a number of ways – including identifying and investigating suspected

76. Lloyds Banking Group fined £105m for serious LIBOR and other benchmark failings

    Press Releases Published: 28/07/2014 Last modified: 28/07/2014
    This breached two of the FCA’s fundamental principles for businesses, which underpin its objectives to ensure that markets function effectively, and to promote market integrity. ... The FCA has an overarching strategic objective of ensuring the

77. Regulating high frequency trading

    Speeches Published: 04/06/2014 Last modified: 04/06/2014
    Speech by Martin Wheatley, CEO, the FCA, at the Global Exchange and Brokerage Conference, New York. This is the text of the speech as drafted, which may differ from the delivered version.

78. Leadership and conduct

    Speeches Published: 31/03/2014 Last modified: 31/03/2014
    Speech by Martin Wheatley, Chief Executive, the FCA, at City Week 2014: International Financial Services in the Post-Reform World: Opportunities and Challenges. This is the text of the speech as drafted, which may differ from the delivered version.

79. FCA bans and fines trader £662,700 for manipulating gilt price during QE

    Press Releases Published: 20/03/2014 Last modified: 01/04/2014
    Stevenson's abuse took advantage of a policy designed to boost the economy with no regard for the potential consequences for other market participants and, ultimately, for UK tax payers. ... The FCA has a statutory objective to ensure markets work well

80. Fraudster Benjamin Wilson sentenced to seven years imprisonment following successful FCA prosecution

    Press Releases Published: 14/02/2014 Last modified: 22/11/2021
    Benjamin Wilson of Bournemouth, Dorset sentenced to seven years at Southwark Crown Court for defrauding investors of over £21m, following previous guilty pleas for fraud, forgery and operating a collective investment scheme without authorisation

81. Tribunal bans former trader for lying to the FCA and the Tribunal

    Press Releases Published: 17/12/2013 Last modified: 19/12/2013
    The FCA appealed the Tribunal’s determination regarding Hobbs’ fitness and propriety (but not its finding on market abuse) to the Court of Appeal. ... Kerr came to a settlement with the FSA on the basis that his role in the relevant trading amounted

82. Modelling integrity through culture

    Speeches Published: 19/11/2013 Last modified: 19/11/2013
    Speech by Martin Wheatley, Chief Executive of the FCA, at the FCA Markets Conference 2013. This is the text of the speech as drafted, which may differ from the delivered version.

83. Financial services regulation and enforcement: recent developments and emerging issues

    Speeches Published: 09/10/2013 Last modified: 10/10/2013
    Speech by Tracey McDermott, Director of Enforcement and Financial Crime at the NERA Economic Consulting seminar, London. This is the text of the speech as drafted, which may differ from the delivered version.

84. FCA fines compliance officer and broker whose actions enabled market abuse to be committed in October 2010

    Press Releases Published: 08/08/2013 Last modified: 17/09/2013
    The Financial Conduct Authority (FCA) has fined David Davis, senior partner and compliance officer of Paul E Schweder Miller & Co, £70,258, and Vandana Parikh, a broker at the same firm, £45,673, for failing to act with due skill, care and