Showing 1 to 10 of 78 search results for market abuse.

1. Richard Baldwin conviction for money laundering revealed after reporting restrictions lifted

   Press Releases Published: 11/07/2019 Last modified: 02/08/2019
   On 13 July 2017, Richard Baldwin was convicted of dealing in criminal property between October 2007 and November 2008. The criminal property laundered was £1.5 million representing the proceeds of a conspiracy to insider deal by Martyn Dodgson and Andrew Hind. Mr Baldwin used off-shore companies, bank accounts and false invoices to effect his...

2. FCA publishes Annual Report and Accounts 2018/19

   Press Releases Published: 09/07/2019 Last modified: 09/07/2019
   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 2018/19.

3. FCA proposes ban on sale of crypto-derivatives to retail consumers

   Press Releases Published: 03/07/2019 Last modified: 03/07/2019
   The Financial Conduct Authority (FCA) is proposing rules to address harm to retail consumers from the sale of derivatives and exchange traded notes (ETNs) referencing certain types of cryptoassets.

4. Two found guilty of insider dealing

   Press Releases Published: 27/06/2019 Last modified: 27/06/2019
   Today Fabiana Abdel-Malek was sentenced to 3 years’ imprisonment and Walid Choucair sentenced to 3 years’ imprisonment in respect of five offences of insider dealing. Fabiana Abdel-Malek and Walid Anis Choucair were each convicted over the course of the past three days of insider dealing following an eleven week trial brought by the Financial...

5. FCA and CSRC announce their support for the Shanghai-London Stock Connect scheme

   Press Releases Published: 17/06/2019 Last modified: 17/06/2019
   The Financial Conduct Authority (FCA) and the China Securities Regulatory Commission (CSRC) have today made a joint announcement of their approval of the Shanghai and London Stock Exchanges’ proposed new Shanghai-London Stock Connect. They have also published a memorandum of understanding (MoU) aimed at providing the basis for the regulatory...

6. 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).

7. 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.

8. 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.

9. Financial Conduct Authority publishes Decision Notice concerning Linear Investments Limited

   Press Releases Published: 27/09/2018 Last modified: 27/09/2018
   The Financial Conduct Authority (FCA) has today published a Decision Notice concerning Linear Investments Limited. Linear failed to take reasonable care to organise and control its affairs responsibly and effectively to ensure potential instances of market abuse could be detected and reported. The failure occurred from 14 January 2013 to 9 August...

10. New premium listing category for sovereign-controlled companies

    Press Releases Published: 08/06/2018 Last modified: 08/06/2018
    The Financial Conduct Authority (FCA) has today finalised rules creating a new category within its premium listing regime to cater for companies controlled by a shareholder that is a sovereign country.