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Showing 12 to 21 of 26 search results for report suspected market abuse.
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Market Abuse
https://www.fca.org.uk/markets/market-abuse -
Our investigations – the evolving approach
Speech by Jamie Symington, Director of Investigations at the FCA, at the Legal Week Banking Litigation and Regulation Forum. -
Effectiveness and proportionality: our financial crime priorities
Speech by Rob Gruppetta, Head of the Financial Crime Department at the FCA, at our Financial Crime Conference. -
Speech: Culture in UK banking – regulatory priorities
Or traditional practices or rules of various kinds might make markets inefficient economically. ... First, as suspected, there are many parallels between tax authorities and conduct regulators. -
How to report suspected market abuse as a firm or trading venue
Find out more about suspicious transaction and order reports (STORs), and how to submit a STOR or a market observation. -
Market Abuse Regulation
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. -
FCA Enforcement and the Wholesale Markets
Speech by Tracey McDermott, Director of Enforcement and Financial Crime at the Financial Conduct Authority (FCA), delivered at the 13th Annual FX Week Europe, London. This is the text of the speech as drafted, which may differ from the delivered -
Deutsche Bank fined £4.7m for failing to properly report transactions
Effective market surveillance is critical to maintain the integrity of our markets and depends on accurate and timely reporting of transactions. ... The FCA uses these reports in a number of ways – including identifying and investigating suspected -
FCA fines compliance officer and broker whose actions enabled market abuse to be committed in October 2010
The Financial Conduct Authority (FCA) has fined David Davis, senior partner and compliance officer of Paul E Schweder Miller & Co, £70,258, and Vandana Parikh, a broker at the same firm, £45,673, for failing to act with due skill, care and -
Royal Bank of Scotland fined £5.6m for failing to properly report over a third of transactions
The Royal Bank of Scotland (RBS) has been fined £5,620,300 by the Financial Conduct Authority (FCA) for incorrectly reporting transactions they made in wholesale markets, and in some instances, failing to report transactions at all. -
Chairman’s speech
Speech by FCA Chairman, John Griffith-Jones, at the Annual Public Meeting, London. This is the text of the speech as drafted, which may differ from the delivered version.