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Showing 172 to 181 of 269 search results for market abuse.

172. 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.

173. Effectiveness and proportionality: our financial crime priorities

     Speeches

     Published: 10/11/2016

     Last modified: 05/12/2016

     Speech by Rob Gruppetta, Head of the Financial Crime Department at the FCA, at our Financial Crime Conference.

174. Speech: The economic challenge of regulating the mortgage market

     Insight

     Published: 04/11/2016

     Last modified: 17/02/2017

     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. ... Second, from the perspective of regulatory economics, to counteract traditional market

175. Mark Lyttleton pleads guilty to insider dealing

     Press Releases

     Published: 02/11/2016

     Last modified: 02/11/2016

     Mark Lyttleton, a former Equity Portfolio Manager at BlackRock, has today pleaded guilty to two counts of insider dealing.  He will be sentenced on 21 December 2016.

176. Tribunal upholds the Financial Conduct Authority’s decision to impose a partial ban on Tariq Carrimjee

     Press Releases

     Published: 21/10/2016

     Last modified: 21/10/2016

     On 20 October 2016 the Tribunal upheld the Financial Conduct Authority’s (FCA) decision to ban Tariq Carrimjee of Somerset Asset Management LLP (Somerset) from carrying out the compliance oversight and money laundering reporting significant

177. Speech: Culture in UK banking – regulatory priorities

     Insight

     Published: 18/10/2016

     Last modified: 17/02/2017

     When markets work well, savers’ money is matched with the best investment opportunities. ... Or traditional practices or rules of various kinds might make markets inefficient economically.

178. Former Investment Portfolio Manager charged with insider dealing

     Press Releases

     Published: 29/09/2016

     Last modified: 29/09/2016

     The Financial Conduct Authority (FCA) has instituted criminal proceedings against Mark Alexander Lyttleton (date of birth 9 June 1971), a former Investment Portfolio Manager at Blackrock Investment Management (UK) Ltd.  Mr Lyttleton is charged with

179. Balancing regulatory objectives in the dynamic consumer credit market

     Speeches

     Published: 27/09/2016

     Last modified: 27/09/2016

     Speech by Jonathan Davidson, Director of Supervision – retail and authorisations at the FCA, at the Future of Lending Conference.

180. A more effective approach to combatting financial crime

     Speeches

     Published: 21/09/2016

     Last modified: 29/09/2016

     Speech by Megan Butler, Executive Director of Supervision - Investment, Wholesale and Specialists at the FCA, delivered at the BBA Financial Crime and Sanctions Conference.

181. FCA publishes thematic review into dark pools

     Press Releases

     Published: 21/07/2016

     Last modified: 21/07/2016

     improving the monitoring of activity in their pools with a focus on operational integrity, best execution, client preferences and unwanted trading activity including market abuse;. ... Thematic review: TR16/5: UK equity market dark pools – Role,

182. Chief Executive speaks at APM about recent work and future challenges

     Speeches

     Published: 20/07/2016

     Last modified: 20/07/2016

     Speech by Andrew Bailey, Chief Executive at the FCA, delivered at our 2016 Annual Public Meeting.