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Showing 222 to 231 of 269 search results for market abuse.
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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. -
FCA charges former Treasurer and Head of Tax at Wm Morrison with insider dealing
The Financial Conduct Authority (FCA) has charged Paul Gerard Coyle (DOB: 20/04/1964), the former Treasurer and Head of Tax at Wm Morrison Supermarket plc (Morrison) with two offences of insider dealing, contrary to Section 52(1) of the Criminal -
MiFID II: The future of European trading in the balance
Speech by David Lawton, Director of Markets, at the FCA MiFID II Conference 2014. This is the text of the speech as drafted, which may differ from the delivered version. -
Insider dealers ordered to pay £3.2m in confiscation
In a case brought by the Financial Conduct Authority (FCA) and heard at Southwark Crown Court Confiscation Orders (the Orders) totalling £3,249,488.71 were made by His Honour Judge Pegden QC between 10 September 2014 and 15 September 2014. -
Deutsche Bank fined £4.7m for failing to properly report transactions
Effective market surveillance is critical to maintain the integrity of our markets and depends on accurate and timely reporting of transactions. ... The FCA uses these reports in a number of ways – including identifying and investigating suspected -
Lloyds Banking Group fined £105m for serious LIBOR and other benchmark failings
This breached two of the FCA’s fundamental principles for businesses, which underpin its objectives to ensure that markets function effectively, and to promote market integrity. ... The FCA has an overarching strategic objective of ensuring the -
FCA publishes Final Notice for Ian Hannam and confirms a financial penalty of £450,000
Controlling the flow of inside information is a key way of preventing market abuse and we would urge all market participants to pay close attention to the judgment.". ... Section 118(3) of the Financial Services and Markets Act 2000 (FSMA) provides that -
Former equities trader charged with insider dealing
The Financial Conduct Authority (FCA) has charged Damian Frank Clarke (DOB: 06/10/1975), a former equities trader at Schroders Investment Management Limited, with 9 counts of insider dealing, contrary to Section 52(1) of the Criminal Justice Act 1993 -
Regulating high frequency trading
Speech by Martin Wheatley, CEO, the FCA, at the Global Exchange and Brokerage Conference, New York. This is the text of the speech as drafted, which may differ from the delivered version. -
Tribunal upholds decision of Financial Conduct Authority to find Ian Hannam guilty of market abuse
Tribunal upholds decision of Financial Conduct Authority to find Ian Hannam guilty of market abuse. ... Section 118(3) of the Financial Services and Markets Act 2000 (FSMA) provides that it is market abuse for an insider to disclose inside information to -
Former UBS trader banned for failings related to US$2.3 billion unauthorised trading losses by Kweku Adoboli
The Financial Conduct Authority (FCA) has banned John Christopher Hughes from performing any function in relation to any regulated activity in the financial services industry.