Showing 1 to 11 of 88 search results for market abuse in relation.

1. Market Abuse

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

2. FCA decides on £5.95m fine and industry ban for Nailesh Teraiya in latest cum-ex case

   Press Releases Published: 18/03/2024 Last modified: 18/03/2024
   Mr Teraiya has referred his Decision Notice to the Upper Tribunal. Any findings in the Decision Notice are therefore provisional and reflect the FCA’s belief as to what occurred and how it considers his behaviour should be characterised.

3. Five individuals face conspiracy to commit insider dealing and money laundering charges

   Press Releases Published: 25/01/2023 Last modified: 06/02/2023
   The FCA has started criminal proceedings against 5 individuals for conspiracy to commit insider dealing and money laundering.

4. FCA publishes Decision Notices against three bond traders for market manipulation

   Press Releases Published: 07/12/2022 Last modified: 07/12/2022
   We have published Decision Notices given to bond traders Diego Urra, Jorge Lopez Gonzalez and Poojan Sheth, for market abuse.

5. Decision of the Court of Appeal - R (Sutton) v Financial Conduct Authority

   Press Releases Published: 02/11/2022 Last modified: 02/11/2022
   The Court of Appeal has refused permission for a group of traders to proceed with a judicial review of the FCA’s decision to provide assistance to the United States Commodity Futures Trading Commission (CFTC) in an ongoing investigation.

6. FCA publishes Decision Notices for Carillion plc (in liquidation) and three of its former executive directors

   Press Releases Published: 28/07/2022 Last modified: 28/07/2022
   The FCA has imposed a public censure on Carillion, rather than a financial penalty, given the firm is insolvent and in liquidation

7. Critical issues in financial regulation: The FCA's perspective

   Speeches Published: 26/04/2022 Last modified: 28/04/2022
   Speech by our CEO, Nikhil Rathi, delivered at City Week 2022.

8. 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. 

9. 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.

10. 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.

11. FCA fines and prohibits hedge fund Chief Investment Officer for market abuse

    Press Releases Published: 15/12/2020 Last modified: 15/12/2020
    The FCA has fined Corrado Abbattista, formerly a portfolio manager, partner and Chief Investment Officer at Fenician Capital Management LLP, £100,000 for market abuse and prohibited him from performing any functions in relation to regulated