Showing 122 to 131 of 218 search results for market abuse.

122. Market Abuse

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

123. Tribunal upholds the Financial Conduct Authority’s decision to impose a partial ban on Tariq Carrimjee

     Press Releases Published: 21/10/2016 Last modified: 21/10/2016
     On 20 October 2016 the Tribunal upheld the Financial Conduct Authority’s (FCA) decision to ban Tariq Carrimjee of Somerset Asset Management LLP (Somerset) from carrying out the compliance oversight and money laundering reporting significant

124. Speech: Culture in UK banking – regulatory priorities

     Insight Published: 18/10/2016 Last modified: 17/02/2017
     Or traditional practices or rules of various kinds might make markets inefficient economically. ... This approach might be helpful in financial regulation in deterring abuse of unintended loopholes.

125. Former Investment Portfolio Manager charged with insider dealing

     Press Releases Published: 29/09/2016 Last modified: 29/09/2016
     The Financial Conduct Authority (FCA) has instituted criminal proceedings against Mark Alexander Lyttleton (date of birth 9 June 1971), a former Investment Portfolio Manager at Blackrock Investment Management (UK) Ltd.  Mr Lyttleton is charged with

126. Balancing regulatory objectives in the dynamic consumer credit market

     Speeches Published: 27/09/2016 Last modified: 27/09/2016
     Speech by Jonathan Davidson, Director of Supervision – retail and authorisations at the FCA, at the Future of Lending Conference.

127. A more effective approach to combatting financial crime

     Speeches Published: 21/09/2016 Last modified: 29/09/2016
     Speech by Megan Butler, Executive Director of Supervision - Investment, Wholesale and Specialists at the FCA, delivered at the BBA Financial Crime and Sanctions Conference.

128. FCA publishes thematic review into dark pools

     Press Releases Published: 21/07/2016 Last modified: 21/07/2016
     improving the monitoring of activity in their pools with a focus on operational integrity, best execution, client preferences and unwanted trading activity including market abuse;. ... Thematic review: TR16/5: UK equity market dark pools – Role,

129. Chief Executive speaks at APM about recent work and future challenges

     Speeches Published: 20/07/2016 Last modified: 20/07/2016
     Speech by Andrew Bailey, Chief Executive at the FCA, delivered at our 2016 Annual Public Meeting.

130. The FCA fines, publicly censures and orders Jersey resident to pay restitution for insider dealing and improper disclosure

     Press Releases Published: 15/07/2016 Last modified: 15/07/2016
     The FCA has today fined Gavin Breeze £59,557 for engaging in market abuse in the form of insider dealing and has also publicly censured him for improper disclosure. ... Individuals with information about market abuse can visit the FCA’s market abuse

131. FCA publishes Annual Report 2015/16 and report of its competition activities since 2013

     Press Releases Published: 12/07/2016 Last modified: 12/07/2016
     Making significant progress on major initiatives such as the Markets in Financial Instruments Directive and the Market Abuse Regulation;. ... The FCA has an overarching strategic objective of ensuring the relevant markets function well.

132. Former equities trader at Schroders Investment Management sentenced for insider dealing

     Press Releases Published: 12/06/2016 Last modified: 05/04/2023
     Damian Clarke, a former equities trader at Schroders Investment Management has today been sentenced to two years imprisonment having pleaded guilty to nine counts of insider dealing.