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Showing 61 to 70 of 81 search results for market abuse.

  1. Tribunal bans former trader for lying to the FCA and the Tribunal

    Press Releases Published: 17/12/2013 Last modified: 19/12/2013
    The Upper Tribunal (Tax and Chancery Chamber) has directed the Financial Conduct Authority (FCA) to ban former derivatives trader David John Hobbs from performing any role in regulated financial services. On 23 July 2010 the FCA issued a Decision Notice to Hobbs that comprised a financial penalty of £175,000 and the imposition of a prohibition...
  2. The FCA strengthens the listing rules to enhance protection for shareholders

    Press Releases Published: 05/11/2013 Last modified: 27/11/2013
    The Financial Conduct Authority (FCA) has strengthened its listing rules to protect minority shareholders. The new rules will give shareholders in premium listed companies additional voting rights and greater influence over key decisions. David Lawton, the FCA’s director of markets, said: “Active engagement by all shareholders is essential to...
  3. FCA fines compliance officer and broker whose actions enabled market abuse to be committed in October 2010

    Press Releases Published: 08/08/2013 Last modified: 17/09/2013
    The Financial Conduct Authority (FCA) has fined David Davis, senior partner and compliance officer of Paul E Schweder Miller & Co, £70,258, and Vandana Parikh, a broker at the same firm, £45,673, for failing to act with due skill, care and diligence in the period leading up to the illegal manipulation of the closing price of securities traded on...
  4. FCA decides to fine Tariq Carrimjee in relation to market abuse committed by Rameshkumar Goenka in October 2010

    Press Releases Published: 08/08/2013 Last modified: 17/09/2013
    The Financial Conduct Authority (FCA) has today published a Decision Notice for Tariq Carrimjee of Somerset Asset Management LLP in relation to assisting Goenka.
  5. Four arrested in FCA insider dealing investigation

    Press Releases Published: 31/07/2013 Last modified: 17/09/2013
    The Financial Conduct Authority (FCA) with the assistance of the Metropolitan Police has this morning executed search warrants in West London.
  6. Royal Bank of Scotland fined £5.6m for failing to properly report over a third of transactions

    Press Releases Published: 24/07/2013 Last modified: 17/09/2013
    The Royal Bank of Scotland (RBS) has been fined £5,620,300 by the Financial Conduct Authority (FCA) for incorrectly reporting transactions they made in wholesale markets, and in some instances, failing to report transactions at all.
  7. FCA fines US based oil trader US $903K for market manipulation

    Press Releases Published: 22/07/2013 Last modified: 17/09/2013
    The Financial Conduct Authority (FCA) has fined US based High Frequency Trader, Michael Coscia, US $903,176 (£597,993) for deliberate manipulation of commodities markets.
  8. Two arrested in FCA insider dealing investigation

    Press Releases Published: 03/05/2013 Last modified: 13/05/2013
    On the 30 April the Financial Conduct Authority (FCA) with the assistance of the City of London Police Economic Crime Directorate executed a search warrant in West London. Two people, a man aged 41 and a woman aged 37, were arrested and questioned in connection with an investigation in to insider dealing and market abuse.
  9. FCA publishes its Annual Funding Requirement for 2013/14

    Press Releases Published: 09/04/2013 Last modified: 15/04/2013
    The Financial Conduct Authority (FCA) has announced its Annual Funding Requirement (AFR) for 2013/14. On 1 April 2013 the FCA and the Prudential Regulation Authority (PRA) replaced the Financial Services Authority (FSA). The Bank of England has separately published the AFR for the PRA.
  10. FCA business plan and risk outlook published

    Press Releases Published: 23/03/2013 Last modified: 01/05/2013
    The Financial Services Authority (FSA) has published the business plan and risk outlook for the Financial Conduct Authority (FCA) for 2013/14. The FSA will be replaced by the FCA and the Prudential Regulation Authority (PRA) on 1 April 2013.