Showing 11 to 20 of 33 search results for Implementation of the Market Abuse Regulation.

11. 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.

12. Recent developments in financial markets

    Speeches Published: 01/03/2018 Last modified: 09/03/2018
    Speech by Andrew Bailey, Chief Executive of the FCA, at the Association for Financial Markets in Europe (AFME), International Capital Market Association (ICMA) and International Swaps and Derivatives Association (ISDA) breakfast briefing.

13. FCA fines Interactive Brokers (UK) Limited £1,049,412 for poor market abuse controls and failure to report suspicious client transactions

    Press Releases Published: 25/01/2018 Last modified: 25/01/2018
    The Financial Conduct Authority (FCA) has today imposed a financial penalty on Interactive Brokers (UK) (IBUK) in the amount of £1,049,412 for failings in its post-trade systems and controls for identifying and reporting suspicious transactions in

14. Effective global regulation in capital markets

    Speeches Published: 05/12/2017 Last modified: 11/04/2018
    Speech by Megan Butler, Director of Supervision - Investment, Wholesale and Specialists at the FCA, delivered to ICI Global Conference, London

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

    Speeches Published: 14/11/2017 Last modified: 15/11/2017
    the relatively newly minted Market Abuse Regulation (MAR) and more broadly the overall ‘market abuse regime’. ... I will refer to the Market Abuse Regulation as ‘MAR’ and refer to the market abuse regime in its longhand form as ‘the regime’:

16. Our investigations – the evolving approach

    Speeches Published: 15/06/2017 Last modified: 15/06/2017
    Speech by Jamie Symington, Director of Investigations at the FCA, at the Legal Week Banking Litigation and Regulation Forum.

17. Speech: Culture in UK banking – regulatory priorities

    Insight Published: 18/10/2016 Last modified: 17/02/2017
    We also published feedback on firms’ implementation of the SMCR. We found that:. ... This approach might be helpful in financial regulation in deterring abuse of unintended loopholes.

18. 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.

19. Independence, confidence and fairness

    Speeches Published: 04/02/2016 Last modified: 04/02/2016
    Speech by Tracey McDermott, Acting Chief Executive, FCA, delivered at Bloomberg, in the City of London, on 4 February 2016, London. This is the text of the speech as drafted, which may differ from the delivered version.

20. Wholesale market policy – a year in review

    Speeches Published: 11/12/2015 Last modified: 11/12/2015
    Speech by David Lawton, Director of Markets Policy and International, FCA, delivered at the ICI Global Trading and Market Structure Conference in London on 8 December 2015. This is the text of the speech as drafted, which may differ from the