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Showing 32 to 41 of 48 search results for they committed market abuse.
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Market Abuse
https://www.fca.org.uk/markets/market-abuse -
Two convicted of insider dealing in Operation Tabernula trial
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. -
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. -
Independence, confidence and fairness
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. -
FCA secures High Court Judgment awarding injunction and over £7 million in penalties against five defendants for market abuse
The High Court today held that the Financial Conduct Authority (FCA) is entitled to permanent injunctions and penalties totalling £7,570,000 against Da Vinci Invest Ltd, Mineworld Ltd, Mr Szabolcs Banya, Mr Gyorgy Szabolcs Brad and Mr Tamas Pornye -
Fair and effective markets review
They fall into six categories:. Market structures presented opportunities for abuse – so, the design of benchmarks like LIBOR gave opportunities to the unscrupulous to manipulate. ... For example, closing the gap that market abuse rules do not cover -
The retrospective application of rules: feedback on the call for examples
We asked firms to provide examples of the retrospective application of regulatory rules -
Regulatory Developments and the Changing Market Structure
Speech by David Lawton, Director of Markets at the FCA, at the American Bar Association Capital Markets Conference, Law Society, London, Thursday 27 February 2014. This is the text of the speech as drafted, which may differ from the delivered version -
Financial services regulation and enforcement: recent developments and emerging issues
Speech by Tracey McDermott, Director of Enforcement and Financial Crime at the NERA Economic Consulting seminar, London. This is the text of the speech as drafted, which may differ from the delivered version. -
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