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Showing 21 to 30 of 57 search results for under the Market Abuse Regime.
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Effective compliance with the Market Abuse Regulation – a state of mind
Under my Directorate of Market Oversight sit 3 departments that are wholly bound up in the ongoing efficacy of both MAR and the market abuse regime more widely. ... market. One of the fundamental elements of the state of mind of the market abuse regime -
Where next for investment and asset management regulation?
Speech by Megan Butler, Executive Director of Supervision - Investment, Wholesale and Specialists at the FCA, delivered at the FT Investment Management Summit Europe 2017. -
A Better View
Speech by Mark Steward, Director of Enforcement and Market Oversight at the FCA, delivered at the AFME European Compliance and Legal Conference 2017 -
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. -
FCA bans and fines two individuals for market abuse
The Financial Conduct Authority (FCA) has banned and imposed financial penalties on two former Worldspreads Limited (WSL) employees. WSL, which operated a spread betting business, collapsed in March 2012. -
The expanding scope of individual accountability for corporate misconduct
Speech by Mark Steward, Director of Enforcement and Market Oversight at the FCA, delivered at the New York University Program on Corporate Compliance and Enforcement -
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: The economic challenge of regulating the mortgage market
Consumers in the UK mortgage market have not experienced systematic mis-selling of the kind that has blighted some markets for investment and insurance markets. ... This looks like a market failure that provides a case for intervention under the standard -
Speech: Culture in UK banking – regulatory priorities
Or traditional practices or rules of various kinds might make markets inefficient economically. ... This deals with attempts to bypass the rules rather than violating them explicitly.Under the General Anti-Abuse Rule introduced in 2013, a scheme which