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Showing 12 to 21 of 28 search results for suspected market abuse.
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Market Abuse
https://www.fca.org.uk/markets/market-abuse -
Overview of competition at the FCA
Speech by Mary Starks, Director of Competition and Economics at the FCA, delivered at Credit Suisse. -
Our investigations – the evolving approach
Speech by Jamie Symington, Director of Investigations at the FCA, at the Legal Week Banking Litigation and Regulation Forum. -
Mark Lyttleton sentenced to 12 months imprisonment for insider dealing
In a prosecution brought by the Financial Conduct Authority (FCA) Mark Lyttleton, a former Equity Portfolio Manager at BlackRock Investment Management (UK) Limited, has today been sentenced to 18 months reduced with credit to 12 months on two counts -
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