Showing 1 to 10 of 187 search results for market abuse.

1. FCA takes action against debt packager firms

   Press Releases Published: 20/07/2021 Last modified: 20/07/2021
   5 firms have stopped providing regulated debt advice until further notice and the FCA has used formal powers to stop another firm from providing regulated advice

2. Transforming to a forward-looking, proactive regulator

   Speeches Published: 15/07/2021 Last modified: 15/07/2021
   Speech by our CEO, Nikhil Rathi, delivered at the FCA’s Our Role and Business Plan webinar.

3. Statement on supervision of commodity position limits

   Statements Published: 09/07/2021 Last modified: 09/07/2021
   In December 2020, we published a Supervisory Statement setting out our approach to the operation of the MiFID markets regime after the end of the EU withdrawal transition period. 

4. Levelling the playing field – innovation in the service of consumers and the market

   Speeches Published: 20/04/2021 Last modified: 20/04/2021
   Speech by our CEO, Nikhil Rathi, to FinTech Week.

5. FCA bans and fines financial adviser £68,300 for lacking honesty and integrity

   Press Releases Published: 15/04/2021 Last modified: 15/04/2021
   The FCA has banned Simon Varley from working in financial services and fined him £68,300 for knowingly performing a controlled function without approval.

6. Locking down market abuse

   Speeches Published: 08/03/2021 Last modified: 08/03/2021
   Speech by Mark Steward, Executive Director of Enforcement and Market Oversight, delivered at the Expert Forum: Market Abuse 2021.

7. FCA fines and prohibits trader for market abuse

   Press Releases Published: 04/03/2021 Last modified: 04/03/2021
   The FCA has fined Mr Adrian Geoffrey Horn for market abuse and prohibited him from performing any functions in relation to regulated activity.

8. 2021 fines

   News stories Published: 04/03/2021 Last modified: 19/10/2021
   This page contains information about enforcement fines published during the calendar year ending 2021.

9. The Financial Conduct Authority (FCA) makes senior appointments to drive its transformation

   Press Releases Published: 25/02/2021 Last modified: 26/02/2021
   Nikhil Rathi, Chief Executive of the FCA since October 2020, has now made four further appointments to the FCA’s executive team.

10. FCA and FRC joint statement reminding companies that extended financial information timelines continue to apply

    Statements Published: 27/01/2021 Last modified: 27/01/2021
    In a joint statement, the FCA and the Financial Reporting Council (FRC) have asked firms to stay aware of the current measures in place, considering the situation created by coronavirus (Covid-19).