About 68 results.

1. FCA fines Interactive Brokers (UK) Limited £1,049,412 for poor market abuse controls and failure to report suspicious client transactions

   Press Releases Published: 25/01/2018 Last modified: 25/01/2018
   The Financial Conduct Authority (FCA) has today imposed a financial penalty on Interactive Brokers (UK) (IBUK) in the amount of £1,049,412 for failings in its post-trade systems and controls for identifying and reporting suspicious transactions in the period February 2014 to February 2015 (‘the Relevant Period’).

2. AIM Investment Company fined for failing to disclose inside information as soon as possible

   Press Releases Published: 14/12/2017 Last modified: 14/12/2017
   The Financial Conduct Authority (FCA) has today fined Tejoori Limited (Tejoori) £70,000 for failing to inform the market of inside information as required by Article 17(1) of the Market Abuse Regulation (MAR).  This is the first fine the FCA has imposed on an AIM company for late disclosure following the introduction of MAR on 3 July 2016.

3. Six guilty in relation to £2.7m boiler room scam

   Press Releases Published: 11/12/2017 Last modified: 11/12/2017
   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. 

4. FCA fines bond trader £60,000 for market abuse

   Press Releases Published: 22/11/2017 Last modified: 22/11/2017
   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.

5. FCA publishes annual report and accounts 2016/17

   Press Releases Published: 05/07/2017 Last modified: 05/07/2017
   The Financial Conduct Authority (FCA) has today published its Annual Report and Accounts, which looks back on the key pieces of work undertaken by the organisation throughout 2016/17.

6. Two charged with insider dealing

   Press Releases Published: 16/06/2017 Last modified: 16/06/2017
   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) following a joint investigation with the National Crime Agency. 

7. FCA bans and fines two individuals for market abuse

   Press Releases Published: 07/04/2017 Last modified: 07/04/2017
   The Financial Conduct Authority (FCA) has banned and imposed financial penalties on two former Worldspreads Limited (WSL) employees. WSL, which operated a spread betting business, collapsed in March 2012.    

8. Tesco to pay redress for market abuse

   Press Releases Published: 28/03/2017 Last modified: 23/08/2017
   The Financial Conduct Authority (FCA) announced in March that Tesco plc and Tesco Stores Limited (Tesco) have agreed that they committed market abuse in relation to a trading update published on 29 August 2014, which gave a false or misleading impression about the value of publicly traded Tesco shares and bonds. Tesco have agreed to pay...

9. Mark Lyttleton sentenced to 12 months imprisonment for insider dealing

   Press Releases Published: 21/12/2016 Last modified: 21/12/2016
   In a prosecution brought by the Financial Conduct Authority (FCA) Mark Lyttleton, a former Equity Portfolio Manager at BlackRock Investment Management (UK) Limited, has today been sentenced to 18 months reduced with credit to 12 months on two counts of insider dealing. A confiscation order was also made in the sum of £149,861.27 and costs...

10. Two plead guilty to insider dealing

    Press Releases Published: 30/11/2016 Last modified: 30/11/2016
    In a case brought by the Financial Conduct Authority (FCA) Manjeet Mohal and Reshim Birk have today pleaded guilty to three counts of insider dealing on day three of their trial at the Central Criminal Court. They will be sentenced on 13 January 2017.