Showing 82 to 91 of 132 search results for our market abuse.

82. Market Abuse

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

83. 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;. ... behaviour. John Griffith-Jones, Chairman of the Financial Conduct Authority, said:. “Our overriding goal is

84. FCA Research into the issue of de-risking

    News stories Published: 24/05/2016 Last modified: 24/05/2016
    In our Business Plan that we published on 5 April 2016 we identified that AML is one of our 7 seven priority themes. ... We note that banks, like all firms, are subject to competition law, in particular the prohibitions on anticompetitive agreements and

85. Insider dealers sentenced in Operation Tabernula trial

    Press Releases Published: 11/05/2016 Last modified: 05/04/2023
    In a case brought by the Financial Conduct Authority (FCA), Martyn Dodgson, a senior investment banker, and Andrew Hind, a Chartered Accountant, have today been sentenced at Southwark Crown Court to 4.5 years and 3.5 years imprisonment.

86. Two convicted of insider dealing in Operation Tabernula trial

    Press Releases Published: 08/05/2016 Last modified: 05/04/2023
    In a case brought by the FCA and following a three-month trial at Southwark Crown Court, two defendants – a senior investment banker and a Chartered Accountant – have been convicted of conspiring to insider deal.

87. How to report suspected market abuse as a firm or trading venue

    Markets Market abuse Published: 04/05/2016 Last modified: 11/09/2023
    Find out more about suspicious transaction and order reports (STORs), and how to submit a STOR or a market observation.

88. Market Abuse Regulation

    Markets Market abuse Published: 03/05/2016 Last modified: 22/05/2023
    The Market Abuse Regulation (MAR) aims to increase market integrity and investor protection. Find out more about the application and structure of the MAR, market abuse offences and exemptions.

89. 15 month suspended sentence for director of debt management firm

    News stories Published: 28/04/2016 Last modified: 28/04/2016
    A director of three debt management firms has been sentenced to 15 months in prison, suspended for two years, and 200 hours of community service for fraud by abuse of position. ... We have used our regulatory powers to ensure that consumers affected were

90. Independence, confidence and fairness

    Speeches Published: 04/02/2016 Last modified: 04/02/2016
    Speech by Tracey McDermott, Acting Chief Executive, FCA, delivered at Bloomberg, in the City of London, on 4 February 2016, London. This is the text of the speech as drafted, which may differ from the delivered version.

91. Wholesale market policy – a year in review

    Speeches Published: 11/12/2015 Last modified: 11/12/2015
    Speech by David Lawton, Director of Markets Policy and International, FCA, delivered at the ICI Global Trading and Market Structure Conference in London on 8 December 2015. This is the text of the speech as drafted, which may differ from the

92. Examining the future of anti-money laundering regulations

    Speeches Published: 08/12/2015 Last modified: 16/08/2021
    Speech by Rob Gruppetta at the Accuity AML Risk Reduction and Compliance Europe Conference on 8 December 2015