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Showing 152 to 161 of 269 search results for market abuse.

152. Market Abuse

     Behaviour such as insider dealing and market manipulation can amount to market abuse. Find out more about the safeguards firms must have in place.

153. Recent developments in financial markets

     Speeches

     Published: 01/03/2018

     Last modified: 09/03/2018

     Speech by Andrew Bailey, Chief Executive of the FCA, at the Association for Financial Markets in Europe (AFME), International Capital Market Association (ICMA) and International Swaps and Derivatives Association (ISDA) breakfast briefing.

154. FCA fines Interactive Brokers (UK) Limited £1,049,412 for poor market abuse controls and failure to report suspicious client transactions

     Press Releases

     Published: 25/01/2018

     Last modified: 25/01/2018

     The Financial Conduct Authority (FCA) has today imposed a financial penalty on Interactive Brokers (UK) (IBUK) in the amount of £1,049,412 for failings in its post-trade systems and controls for identifying and reporting suspicious transactions in

155. 2018 fines

     News stories

     Published: 08/01/2018

     Last modified: 15/01/2019

     This table contains information about fines published during the calendar year ending 2018. The total amount of fines is £60,467,212.

156. AIM Investment Company fined for failing to disclose inside information as soon as possible

     Press Releases

     Published: 14/12/2017

     Last modified: 14/12/2017

     The Financial Conduct Authority (FCA) has today fined Tejoori Limited (Tejoori) £70,000 for failing to inform the market of inside information as required by Article 17(1) of the Market Abuse Regulation (MAR).  This is the first fine the FCA has

157. Six guilty in relation to £2.7m boiler room scam

     Press Releases

     Published: 11/12/2017

     Last modified: 11/12/2017

     In a criminal prosecution brought by the Financial Conduct Authority (FCA), three defendants have today been found guilty for their roles in a series of boiler rooms which led to the loss of more than £2.7m of investors’ funds. 

158. Effective global regulation in capital markets

     Speeches

     Published: 05/12/2017

     Last modified: 11/04/2018

     Speech by Megan Butler, Director of Supervision - Investment, Wholesale and Specialists at the FCA, delivered to ICI Global Conference, London

159. FCA fines bond trader £60,000 for market abuse

     Press Releases

     Published: 22/11/2017

     Last modified: 22/11/2017

     The Financial Conduct Authority (FCA) has imposed on Paul Walter, a former Bank of America Merrill Lynch International Limited (BAML) bond trader, a financial penalty of £60,090 for engaging in market abuse.

160. Effective compliance with the Market Abuse Regulation – a state of mind

     Speeches

     Published: 14/11/2017

     Last modified: 15/11/2017

     We need to take all the steps we can to prevent market abuse from taking place within our markets. ... Equally, we need to take all the steps we can to prevent market abuse from taking place within our markets.

161. Where next for investment and asset management regulation?

     Speeches

     Published: 28/09/2017

     Last modified: 02/10/2017

     Speech by Megan Butler, Executive Director of Supervision - Investment, Wholesale and Specialists at the FCA, delivered at the FT Investment Management Summit Europe 2017.

162. A Better View

     Speeches

     Published: 20/09/2017

     Last modified: 20/09/2017

     Speech by Mark Steward, Director of Enforcement and Market Oversight at the FCA, delivered at the AFME European Compliance and Legal Conference 2017