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Showing 12 to 21 of 31 search results for Criminal market abuse regime.
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Market Abuse
https://www.fca.org.uk/markets/market-abuse -
The fight against skimmers and scammers
Speech by Charles Randell, Chair of the FCA, delivered at the Cambridge Economic Crime Symposium. -
Partly contested cases, the pipeline and AML investigations
FCA Director of Enforcement and Market Oversight, Mark Steward, delivers a speech on MIFID II and ways to fight financial crime. -
Market abuse requires a dynamic response to a changing risk profile
While our teams that police the market abuse regime are keenly aware of the risk that these behaviours may exist in our markets - we are concerned that such an awareness is ... Without the right state of mind, I continue to believe, we will not have -
Cyber and technology resilience in UK financial services
Speech by Megan Butler, Executive Director of Supervision – Investment, Wholesale and Specialists at the FCA, delivered at Bloomberg, London. -
Effective global regulation in capital markets
Speech by Megan Butler, Director of Supervision - Investment, Wholesale and Specialists at the FCA, delivered to ICI Global Conference, London -
Effective compliance with the Market Abuse Regulation – a state of mind
market. One of the fundamental elements of the state of mind of the market abuse regime is the recognition that all elements of the capital markets chain play a critical role ... They are inextricably linked. In order to be prepared to mitigate the risk -
Where next for investment and asset management regulation?
Speech by Megan Butler, Executive Director of Supervision - Investment, Wholesale and Specialists at the FCA, delivered at the FT Investment Management Summit Europe 2017. -
Our investigations – the evolving approach
Speech by Jamie Symington, Director of Investigations at the FCA, at the Legal Week Banking Litigation and Regulation Forum. -
FCA bans and fines two individuals for market abuse
The Financial Conduct Authority (FCA) has banned and imposed financial penalties on two former Worldspreads Limited (WSL) employees. WSL, which operated a spread betting business, collapsed in March 2012. -
The expanding scope of individual accountability for corporate misconduct
Speech by Mark Steward, Director of Enforcement and Market Oversight at the FCA, delivered at the New York University Program on Corporate Compliance and Enforcement