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Showing 61 to 70 of 101 search results for under the Market Abuse.
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A more effective approach to combatting financial crime
Speech by Megan Butler, Executive Director of Supervision - Investment, Wholesale and Specialists at the FCA, delivered at the BBA Financial Crime and Sanctions Conference. -
Chief Executive speaks at APM about recent work and future challenges
Speech by Andrew Bailey, Chief Executive at the FCA, delivered at our 2016 Annual Public Meeting. -
FCA Research into the issue of de-risking
We note that banks, like all firms, are subject to competition law, in particular the prohibitions on anticompetitive agreements and abuse of market power contained in the UK Competition Act 1998, ... While banks will still have to continue to meet their -
Insider dealers sentenced in Operation Tabernula trial
In a case brought by the Financial Conduct Authority (FCA), Martyn Dodgson, a senior investment banker, and Andrew Hind, a Chartered Accountant, have today been sentenced at Southwark Crown Court to 4.5 years and 3.5 years imprisonment. -
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. -
FCA fines and restricts W H Ireland Limited for market abuse risks
or the full breadth of its market abuse risks, were set too narrowly to be effective and produced exceptions that were not reviewed in a timely and consistent manner. ... In addition, throughout this period, the FCA had also been communicating widely -
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. -
Wholesale market policy – a year in review
Speech by David Lawton, Director of Markets Policy and International, FCA, delivered at the ICI Global Trading and Market Structure Conference in London on 8 December 2015. This is the text of the speech as drafted, which may differ from the -
Examining the future of anti-money laundering regulations
Speech by Rob Gruppetta at the Accuity AML Risk Reduction and Compliance Europe Conference on 8 December 2015 -
Fair and effective markets review
Regulatory reforms in Europe like MiFID 2 and the new Market Abuse Regulation, and in the US like the Dodd-Frank Act. ... For example, closing the gap that market abuse rules do not cover spot FX markets.