Showing 32 to 41 of 218 search results for market abuse.

32. Market Abuse

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

33. Former CFO and Finance Director guilty of misleading investors in case brought by the FCA, former CEO found not guilty

    Press Releases Published: 11/02/2022 Last modified: 11/02/2022
    Timothy Coleman, Redcentric Plc's former Chief Financial Officer, has been found guilty of 4 charges concerning the making of false and misleading statements to the market.

34. Statement on supervision of commodity derivatives position limits

    Statements Published: 20/12/2021 Last modified: 20/12/2021
    In December 2020, we published a Supervisory Statement setting out our approach to operating the MiFID markets regime after the end of the EU withdrawal transition period.

35. FCA proposes stronger requirements on oversight of appointed representatives

    Press Releases Published: 03/12/2021 Last modified: 03/12/2021
    FCA launches consultation on improving the appointed representatives regime and tackling harm from this model.

36. FCA takes action against debt packager firms

    Press Releases Published: 20/07/2021 Last modified: 20/07/2021
    5 firms have stopped providing regulated debt advice until further notice and the FCA has used formal powers to stop another firm from providing regulated advice

37. Transforming to a forward-looking, proactive regulator

    Speeches Published: 15/07/2021 Last modified: 15/07/2021
    Speech by our CEO, Nikhil Rathi, delivered at the FCA’s Our Role and Business Plan webinar.

38. Statement on supervision of commodity position limits

    Statements Published: 09/07/2021 Last modified: 09/07/2021
    In December 2020, we published a Supervisory Statement setting out our approach to the operation of the MiFID markets regime after the end of the EU withdrawal transition period. 

39. Levelling the playing field – innovation in the service of consumers and the market

    Speeches Published: 20/04/2021 Last modified: 20/04/2021
    Speech by our CEO, Nikhil Rathi, to FinTech Week.

40. FCA bans and fines financial adviser £68,300 for lacking honesty and integrity

    Press Releases Published: 15/04/2021 Last modified: 15/04/2021
    The FCA has banned Simon Varley from working in financial services and fined him £68,300 for knowingly performing a controlled function without approval.

41. Locking down market abuse

    Speeches Published: 08/03/2021 Last modified: 08/03/2021
    Speech by Mark Steward, Executive Director of Enforcement and Market Oversight, delivered at the Expert Forum: Market Abuse 2021.

42. FCA fines and prohibits trader for market abuse

    Press Releases Published: 04/03/2021 Last modified: 04/03/2021
    The FCA has fined Mr Adrian Geoffrey Horn for market abuse and prohibited him from performing any functions in relation to regulated activity.