Showing 102 to 111 of 218 search results for market abuse.

102. Market Abuse

     https://www.fca.org.uk/markets/market-abuse

103. 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

104. 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. 

105. Effective global regulation in capital markets

     Speeches Published: 05/12/2017 Last modified: 11/04/2018
     Speech by Megan Butler, Director of Supervision - Investment, Wholesale and Specialists at the FCA, delivered to ICI Global Conference, London

106. 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.

107. Effective compliance with the Market Abuse Regulation – a state of mind

     Speeches Published: 14/11/2017 Last modified: 15/11/2017
     We need to take all the steps we can to prevent market abuse from taking place within our markets. ... Equally, we need to take all the steps we can to prevent market abuse from taking place within our markets.

108. Where next for investment and asset management regulation?

     Speeches Published: 28/09/2017 Last modified: 02/10/2017
     Speech by Megan Butler, Executive Director of Supervision - Investment, Wholesale and Specialists at the FCA, delivered at the FT Investment Management Summit Europe 2017.

109. A Better View

     Speeches Published: 20/09/2017 Last modified: 20/09/2017
     Speech by Mark Steward, Director of Enforcement and Market Oversight at the FCA, delivered at the AFME European Compliance and Legal Conference 2017

110. Overview of competition at the FCA

     Speeches Published: 03/08/2017 Last modified: 03/08/2017
     Speech by Mary Starks, Director of Competition and Economics at the FCA, delivered at Credit Suisse.

111. FCA publishes annual report and accounts 2016/17

     Press Releases Published: 05/07/2017 Last modified: 11/04/2024
     The FCA has published its Annual Report and Accounts, which looks back on the key pieces of work undertaken by the organisation throughout 2016/17.

112. Two charged with insider dealing

     Press Releases Published: 16/06/2017 Last modified: 16/06/2017
     The Financial Conduct Authority (FCA) has instituted criminal proceedings against Fabiana Abdel-Malek (date of birth 17/09/1982), a former compliance officer employed by UBS AG’s London Branch and Walid Anis Choucair (date of birth 04/03/1979)