Showing 83 to 92 of 95 search results for market abuse investigations.

83. 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.

84. Market Abuse

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

85. Four arrested in FCA insider dealing investigation

    Press Releases Published: 30/07/2013 Last modified: 05/04/2023
    The Financial Conduct Authority (FCA) with the assistance of the Metropolitan Police has this morning executed search warrants in West London.

86. Royal Bank of Scotland fined £5.6m for failing to properly report over a third of transactions

    Press Releases Published: 24/07/2013 Last modified: 17/09/2013
    The Royal Bank of Scotland (RBS) has been fined £5,620,300 by the Financial Conduct Authority (FCA) for incorrectly reporting transactions they made in wholesale markets, and in some instances, failing to report transactions at all.

87. Keynote address: Financial crime in the FCA world

    Speeches Published: 01/07/2013 Last modified: 18/07/2013
    Speech by Tracey McDermott, Director of Enforcement & Financial Crime, the FCA, at the FCA Financial Crime Conference, London. This is the text of the speech as drafted, which may differ from the delivered version.

88. Two arrested in FCA insider dealing investigation

    Press Releases Published: 02/05/2013 Last modified: 05/04/2023
    On the 30 April the Financial Conduct Authority (FCA) with the assistance of the City of London Police Economic Crime Directorate executed a search warrant in West London.

89. Three arrested in FSA insider dealing investigation

    Press Releases Published: 27/02/2013 Last modified: 29/03/2013
    The Financial Services Authority (FSA), with the assistance of the Metropolitan Police Service, have this morning executed six search warrants in the City of London and Greater London Area. Three men aged 33, 37 and 39 have been arrested and are

90. FSA fines Nestor Healthcare Group £175,000 for clearance to deal failings

    Press Releases Published: 14/02/2013 Last modified: 07/02/2022
    The Financial Services Authority (FSA) has fined Nestor Healthcare Group Limited (Nestor) £175,000 for failing to take adequate steps to ensure that its board members and senior executives complied with the share dealing provisions of the FSA’s

91. Monitoring orders and transactions – our expectations of firms

    Speeches Published: 31/01/2013 Last modified: 29/03/2013
    Speech by Patrick Spens, Head of Market Monitoring, the FSA, at the Futures Options Association Compliance Forum

92. Tribunal upholds FSA decision to fine firm £8m for market abuse

    Press Releases Published: 28/01/2013 Last modified: 28/01/2015
    The Upper Tribunal (Tax and Chancery Chamber) has directed the Financial Services Authority (FSA) to fine Swift Trade, a non-FSA authorised Canadian company with global operations, £8m for market abuse. The Tribunal described this as being “as

93. Five arrested in FSA insider dealing investigation

    Press Releases Published: 22/01/2013 Last modified: 29/03/2013
    The Financial Services Authority (FSA) with the assistance of the Police Forces, in the City of London, the East Midlands and the North of England have this morning executed four search warrants in the City of London, Lincolnshire, Leicestershire

94. FSA issues fines totaling £250,000 on Plus500UK Limited (Plus500) and James Sharp and Company (James Sharp)

    Press Releases Published: 24/10/2012 Last modified: 22/07/2013
    The Financial Services Authority (FSA) has fined two firms, Plus500UK Limited (Plus500) £205,128 and James Sharp and Company (James Sharp) £49,000 for failing to provide accurate and timely transaction reports to the FSA in respect of all the