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Showing 12 to 20 of 20 search results for two instances of market abuse.
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Market Abuse
https://www.fca.org.uk/markets/market-abuse -
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. -
Investor engagement in a changing regulatory landscape
Persons who do not follow these steps are not necessarily committing market abuse, although they are open to allegations of having done so. ... In that case Mr Hannam was found to be guilty of committing market abuse by disclosing inside information -
The retrospective application of rules: feedback on the call for examples
We asked firms to provide examples of the retrospective application of regulatory rules -
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 -
FCA publishes Final Notice for Ian Hannam and confirms a financial penalty of £450,000
This follows on from the judgment of the Upper Tribunal (Tribunal) which upheld the decision of the FCA that Mr Hannam engaged in two instances of market abuse by disclosing inside ... Section 118(3) of the Financial Services and Markets Act 2000 (FSMA) -
Tribunal upholds decision of Financial Conduct Authority to find Ian Hannam guilty of market abuse
The Upper Tribunal (Tribunal) has upheld the decision of the Financial Conduct Authority (FCA) that Ian Hannam engaged in two instances of market abuse. ... It remains open to Mr Hannam to appeal this judgement. The Tribunal found that Mr Hannam had -
2014 fines
This table contains information about fines published during the calendar year ended December 2014. The total amount of fines is £1,471,431,800. -
Monitoring orders and transactions – our expectations of firms
Speech by Patrick Spens, Head of Market Monitoring, the FSA, at the Futures Options Association Compliance Forum