Showing 1 to 11 of 85 search results for market abuse regimes.

1. Market Abuse

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

2. Promoting competitiveness is a juggling act

   Speeches Published: 18/04/2024 Last modified: 18/04/2024
   Speech by Sarah Pritchard, Executive Director, Markets and Executive Director, International at TheCityUK International Conference 2024.

3. FCA warns firms over anti-money laundering failings

   News stories Published: 05/03/2024 Last modified: 05/03/2024
   We have warned firms about common failings we have found in financial crime controls.

4. The UK listing regime - developments since the UK Listings Review and next steps for reform

   Speeches Published: 06/02/2024 Last modified: 06/02/2024
   Speech by Clare Cole, Director of Market Oversight, at the Westminster Business Forum.

5. We invite Politically Exposed Persons to share their experiences

   News stories Published: 15/08/2023 Last modified: 15/08/2023
   We have written to MPs, peers and other interested parties

6. Cultural evolution: how culture must change to meet expectations

   Speeches Published: 26/06/2023 Last modified: 26/06/2023
   Speech by Emily Shepperd, Chief Operating Officer and Executive Director of Authorisations, delivered online at the Westminster Business Forum.

7. Criminal market abuse regime review completion

   Statements Published: 24/03/2023 Last modified: 24/03/2023
   FCA welcomes the Government’s statement on the completion of the criminal market abuse regime review.

8. FCA fines three broker firms £4,775,200 for failures relating to the detection of market abuse

   Press Releases Published: 08/12/2022 Last modified: 08/12/2022
   The FCA has fined BGC Brokers LP, GFI Brokers Limited and GFI Securities Limited for failing to ensure they had appropriate systems and controls in place to effectively detect market abuse.

9. FCA fines Citigroup’s international broker-dealer £12.6m for failures relating to the detection of market abuse

   Press Releases Published: 19/08/2022 Last modified: 19/08/2022
   The FCA has fined Citigroup Global Markets Limited (Citigroup Global Markets) £12,553,800 for failing to properly implement Market Abuse Regulation (MAR) requirements, relating to the detection of market abuse.

10. FCA further bolsters its leadership team as it expands its headcount

    Press Releases Published: 05/07/2022 Last modified: 06/07/2022
    The Financial Conduct Authority (FCA) has appointed six directors as it expands its headcount to meet a growing remit and to achieve its ambitious strategy, which launched in April. The appointments announced today, which fill a mix of new and

11. 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.