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Showing 42 to 51 of 158 search results for market abuse regulations.

  1. Market Abuse

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

  2. FCA publishes Annual Report and Accounts 2018/19

    Press Releases Published: 09/07/2019 Last modified: 04/09/2020
    The FCA has published its Annual Report and Accounts, which looks back on the key pieces of work undertaken by the organisation throughout 2018/19.

  3. Financial conduct regulation in a restless world

    Speeches Published: 08/05/2019 Last modified: 08/05/2019
    Speech by Christopher Woolard, Executive Director of Strategy and Competition at the FCA, delivered at the Deloitte conduct risk roadshow.

  4. Weighing the value of data – trade-offs, transparency and competition in the digital marketplace

    Speeches Published: 07/05/2019 Last modified: 08/05/2019
    Speech by Robin Finer, Acting Chief Economist at the FCA, delivered at the Respublica conference ‘The Value of Data, Competition, and Financial Services’, London.

  5. Upper Tribunal publishes decision on Linear Investments Limited in relation to penalty imposed by FCA

    Press Releases Published: 10/04/2019 Last modified: 10/04/2019
    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).

  6. Partly contested cases, the pipeline and AML investigations

    Speeches Published: 04/04/2019 Last modified: 04/04/2019
    FCA Director of Enforcement and Market Oversight, Mark Steward, delivers a speech on MIFID II and ways to fight financial crime.

  7. Towards more effective stewardship

    Speeches Published: 03/04/2019 Last modified: 04/03/2022
    Speech by Edwin Schooling Latter, Director of Markets and Wholesale Policy at the FCA, delivered at the LSE in London.

  8. FCA fines Goldman Sachs International £34.3 million for transaction reporting failures

    Press Releases Published: 28/03/2019 Last modified: 28/03/2019
    Goldman Sachs International (GSI) has been fined £34,344,700 by the Financial Conduct Authority (FCA) for failing to provide accurate and timely reporting relating to 220.2 million transaction reports between November 2007 and March 2017.

  9. FCA fines UBS AG £27.6 million for transaction reporting failures

    Press Releases Published: 19/03/2019 Last modified: 19/03/2019
    UBS AG (UBS) has been fined £27,599,400 by the Financial Conduct Authority (FCA) for failings relating to 135.8 million transaction reports between November 2007 and May 2017.

  10. Market abuse requires a dynamic response to a changing risk profile

    Speeches Published: 13/02/2019 Last modified: 17/05/2019
    Speech delivered by Julia Hoggett, Director of Market Oversightat the FCA, at theAFME Implementation of the Market Abuse Regulation in the UK event, London. ... Speaker: Julia Hoggett, Director, Market Oversight. Event: Implementation of the Market Abuse

  11. 2019 fines

    News stories Published: 16/01/2019 Last modified: 20/01/2020
    This page contains information about enforcement fines published during the calendar year ending 2019.