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Showing 62 to 71 of 158 search results for market abuse regulations.
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Market Abuse
https://www.fca.org.uk/markets/market-abuse -
Six guilty in relation to £2.7m boiler room scam
In a criminal prosecution brought by the Financial Conduct Authority (FCA), three defendants have today been found guilty for their roles in a series of boiler rooms which led to the loss of more than £2.7m of investors’ funds. -
Effective global regulation in capital markets
Speech by Megan Butler, Director of Supervision - Investment, Wholesale and Specialists at the FCA, delivered to ICI Global Conference, London -
FCA fines bond trader £60,000 for market abuse
The Financial Conduct Authority (FCA) has imposed on Paul Walter, a former Bank of America Merrill Lynch International Limited (BAML) bond trader, a financial penalty of £60,090 for engaging in market abuse. -
Effective compliance with the Market Abuse Regulation – a state of mind
the relatively newly minted Market Abuse Regulation (MAR) and more broadly the overall ‘market abuse regime’. ... I will refer to the Market Abuse Regulation as ‘MAR’ and refer to the market abuse regime in its longhand form as ‘the regime’: -
Where next for investment and asset management regulation?
Speech by Megan Butler, Executive Director of Supervision - Investment, Wholesale and Specialists at the FCA, delivered at the FT Investment Management Summit Europe 2017. -
A Better View
Speech by Mark Steward, Director of Enforcement and Market Oversight at the FCA, delivered at the AFME European Compliance and Legal Conference 2017 -
Overview of competition at the FCA
Speech by Mary Starks, Director of Competition and Economics at the FCA, delivered at Credit Suisse. -
FCA publishes annual report and accounts 2016/17
The FCA has published its Annual Report and Accounts, which looks back on the key pieces of work undertaken by the organisation throughout 2016/17. -
Two charged with insider dealing
The Financial Conduct Authority (FCA) has instituted criminal proceedings against Fabiana Abdel-Malek (date of birth 17/09/1982), a former compliance officer employed by UBS AG’s London Branch and Walid Anis Choucair (date of birth 04/03/1979) -
Our investigations – the evolving approach
Speech by Jamie Symington, Director of Investigations at the FCA, at the Legal Week Banking Litigation and Regulation Forum.