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Showing 142 to 151 of 269 search results for market abuse.

142. 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.

143. FCA fines UBS AG £27.6 million for transaction reporting failures

     Press Releases

     Published: 19/03/2019

     Last modified: 19/03/2019

     UBS AG (UBS) has been fined £27,599,400 by the Financial Conduct Authority (FCA) for failings relating to 135.8 million transaction reports between November 2007 and May 2017.

144. Market abuse requires a dynamic response to a changing risk profile

     Speeches

     Published: 13/02/2019

     Last modified: 17/05/2019

     While my last speech on this topic focused on laying out the role that minimising market abuse plays in enhancing trust in our markets, this year, I want to delve deeper ... While our teams that police the market abuse regime are keenly aware of the risk

145. 2019 fines

     News stories

     Published: 16/01/2019

     Last modified: 17/12/2025

     This page contains information about enforcement fines published during the calendar year ending 2019.

146. Cyber and technology resilience in UK financial services

     Speeches

     Published: 27/11/2018

     Last modified: 14/01/2019

     Speech by Megan Butler, Executive Director of Supervision – Investment, Wholesale and Specialists at the FCA, delivered at Bloomberg, London.

147. Financial Conduct Authority publishes Decision Notice concerning Linear Investments Limited

     Press Releases

     Published: 27/09/2018

     Last modified: 27/09/2018

     The Financial Conduct Authority (FCA) has today published a Decision Notice concerning Linear Investments Limited. Linear failed to take reasonable care to organise and control its affairs responsibly and effectively to ensure potential instances of

148. Charles Randell speech at the Annual Public Meeting 2018

     Speeches

     Published: 11/09/2018

     Last modified: 11/09/2018

     Speech by Charles Randell, Chair, Financial Conduct Authority, delivered at the Annual Public Meeting at the QEII Centre, Westminster.

149. MiFID II and the fight against financial crime

     Speeches

     Published: 11/07/2018

     Last modified: 20/07/2018

     FCA Director of Enforcement and Market Oversight, Mark Steward, delivers a speech on MIFID II and ways to fight financial crime.

150. How can we ensure that Big Data does not make us prisoners of technology?

     Speeches

     Published: 11/07/2018

     Last modified: 11/07/2018

     Speech by Charles Randell, Chair, Financial Conduct Authority and Payment Systems Regulator, delivered at Reuters Newsmaker event, London.

151. New premium listing category for sovereign-controlled companies

     Press Releases

     Published: 08/06/2018

     Last modified: 08/06/2018

     The Financial Conduct Authority (FCA) has today finalised rules creating a new category within its premium listing regime to cater for companies controlled by a shareholder that is a sovereign country.

152. Accomplishments of the last 5 years

     Speeches

     Published: 14/03/2018

     Last modified: 14/03/2018

     Speech by John Griffith-Jones, Chairman, FCA, delivered at an event hosted by TheCityUK at Linklaters LLP, London.