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Showing 71 to 79 of 79 search results for market abuse.

  1. Three arrested in FSA insider dealing investigation

    Press Releases Published: 27/02/2013 Last modified: 29/03/2013
    The Financial Services Authority (FSA), with the assistance of the Metropolitan Police Service, have this morning executed six search warrants in the City of London and Greater London Area. Three men aged 33, 37 and 39 have been arrested and are currently in custody to be questioned in connection with an investigation in to insider dealing and...
  2. FSA fines Nestor Healthcare Group £175,000 for clearance to deal failings

    Press Releases Published: 14/02/2013 Last modified: 29/03/2013
    The Financial Services Authority (FSA) has fined Nestor Healthcare Group Limited (Nestor) £175,000 for failing to take adequate steps to ensure that its board members and senior executives complied with the share dealing provisions of the FSA’s Model Code.
  3. Tribunal upholds FSA decision to fine firm £8m for market abuse

    Press Releases Published: 28/01/2013 Last modified: 28/01/2015
    The Upper Tribunal (Tax and Chancery Chamber) has directed the Financial Services Authority (FSA) to fine Swift Trade, a non-FSA authorised Canadian company with global operations, £8m for market abuse. The Tribunal described this as being “as serious a case of market abuse of its kind as might be imagined”.
  4. Five arrested in FSA insider dealing investigation

    Press Releases Published: 22/01/2013 Last modified: 29/03/2013
    The Financial Services Authority (FSA) with the assistance of the Police Forces, in the City of London, the East Midlands and the North of England have this morning executed four search warrants in the City of London, Lincolnshire, Leicestershire and North Yorkshire. Five individuals including two men aged 37 and 62 and three women aged 39, 51 and...
  5. FSA issues fines totaling £250,000 on Plus500UK Limited (Plus500) and James Sharp and Company (James Sharp)

    Press Releases Published: 24/10/2012 Last modified: 22/07/2013
    The Financial Services Authority (FSA) has fined two firms, Plus500UK Limited (Plus500) £205,128 and James Sharp and Company (James Sharp) £49,000 for failing to provide accurate and timely transaction reports to the FSA in respect of all the reportable transactions they carried out.
  6. FSA fines spread bet broker £490,000 for transaction reporting failures

    Press Releases Published: 20/01/2011 Last modified: 22/07/2013
    The Financial Services Authority (FSA) has fined City Index Limited (City Index) £490,000 for failing to provide accurate transaction reports to the FSA.
  7. FSA fines Société Générale £1.575 million for failures in transaction reporting

    Press Releases Published: 25/08/2010 Last modified: 22/07/2013
    The Financial Services Authority (FSA) has fined the London branch of Société Générale (SocGen) £1,575,000 for failing to provide accurate transaction reports to the FSA. The fine reflects the seriousness of SocGen’s failure to submit accurate reports for approximately 80% of its reportable transactions, across all of its asset classes, for...
  8. FSA fines Commerzbank for failures in transaction reporting

    Press Releases Published: 27/04/2010 Last modified: 22/07/2013
    The Financial Services Authority (FSA) has fined the London branch of Commerzbank AG (Commerzbank) £595,000 for failing to provide accurate transaction reports to the FSA.
  9. FSA issues fines totalling £4.2m for transaction reporting failures

    Press Releases Published: 08/04/2010 Last modified: 22/07/2013
    The Financial Services Authority (FSA) has fined three firms a total of £4.2m for failing to provide accurate and timely transaction reports to the FSA.