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Showing 82 to 91 of 218 search results for market abuse.
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Market Abuse
https://www.fca.org.uk/markets/market-abuse -
FCA and CSRC announce their support for the Shanghai-London Stock Connect scheme
The Financial Conduct Authority (FCA) and the China Securities Regulatory Commission (CSRC) have today made a joint announcement of their approval of the Shanghai and London Stock Exchanges’ proposed new Shanghai-London Stock Connect. They have -
Financial conduct regulation in a restless world
Speech by Christopher Woolard, Executive Director of Strategy and Competition at the FCA, delivered at the Deloitte conduct risk roadshow. -
Weighing the value of data – trade-offs, transparency and competition in the digital marketplace
Speech by Robin Finer, Acting Chief Economist at the FCA, delivered at the Respublica conference ‘The Value of Data, Competition, and Financial Services’, London. -
Upper Tribunal publishes decision on Linear Investments Limited in relation to penalty imposed by FCA
The Upper Tribunal has published its decision on the reference made by Linear Investments Limited (Linear) in relation to the penalty imposed by the Financial Conduct Authority (FCA). -
Partly contested cases, the pipeline and AML investigations
FCA Director of Enforcement and Market Oversight, Mark Steward, delivers a speech on MIFID II and ways to fight financial crime. -
Towards more effective stewardship
Speech by Edwin Schooling Latter, Director of Markets and Wholesale Policy at the FCA, delivered at the LSE in London. -
FCA fines Goldman Sachs International £34.3 million for transaction reporting failures
Goldman Sachs International (GSI) has been fined £34,344,700 by the Financial Conduct Authority (FCA) for failing to provide accurate and timely reporting relating to 220.2 million transaction reports between November 2007 and March 2017. -
FCA fines UBS AG £27.6 million for transaction reporting failures
UBS AG (UBS) has been fined £27,599,400 by the Financial Conduct Authority (FCA) for failings relating to 135.8 million transaction reports between November 2007 and May 2017. -
Market abuse requires a dynamic response to a changing risk profile
While my last speech on this topic focused on laying out the role that minimising market abuse plays in enhancing trust in our markets, this year, I want to delve deeper ... While our teams that police the market abuse regime are keenly aware of the risk -
2019 fines
This page contains information about enforcement fines published during the calendar year ending 2019.