Showing 1 to 11 of 21 search results for Criminal market abuse regime review.

1. Market Abuse

   https://www.fca.org.uk/markets/market-abuse

2. FCA warns firms over anti-money laundering failings

   News stories Published: 05/03/2024 Last modified: 05/03/2024
   We have warned firms about common failings we have found in financial crime controls.

3. Criminal market abuse regime review completion

   Statements Published: 24/03/2023 Last modified: 24/03/2023
   FCA welcomes the Government’s statement on the completion of the criminal market abuse regime review.

4. Transforming to a forward-looking, proactive regulator

   Speeches Published: 15/07/2021 Last modified: 15/07/2021
   Speech by our CEO, Nikhil Rathi, delivered at the FCA’s Our Role and Business Plan webinar.

5. Market abuse in a time of coronavirus

   Speeches Published: 12/10/2020 Last modified: 12/10/2020
   Julia Hoggett speaking on market abuse at the Ciy & Financial Global event.

6. How to report suspected market abuse as an individual

   Markets Market abuse Published: 12/06/2020 Last modified: 11/09/2023
   Find out the different ways in which an individual can report a concern to us.

7. Best practice note - Identifying, controlling and disclosing inside information

   Markets Published: 09/06/2020 Last modified: 09/01/2023
   This note is for government departments, industry regulators and public bodies to help them in complying with the relevant obligations under MAR.

8. The fight against skimmers and scammers

   Speeches Published: 05/09/2019 Last modified: 05/09/2019
   Speech by Charles Randell, Chair of the FCA, delivered at the Cambridge Economic Crime Symposium.

9. Partly contested cases, the pipeline and AML investigations

   Speeches Published: 04/04/2019 Last modified: 04/04/2019
   FCA Director of Enforcement and Market Oversight, Mark Steward, delivers a speech on MIFID II and ways to fight financial crime.

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

    Speeches Published: 13/02/2019 Last modified: 17/05/2019
    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

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

    Speeches Published: 14/11/2017 Last modified: 15/11/2017
    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