About 74 results.

1. 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...

2. 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).

3. 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.

4. 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.

5. 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...

6. 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.

7. 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’).

8. 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.

9. 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. 

10. 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.