Showing 141 to 150 of 214 search results for Market Abuse and Market.

141. Examining the future of anti-money laundering regulations

     Speeches Published: 08/12/2015 Last modified: 16/08/2021
     Speech by Rob Gruppetta at the Accuity AML Risk Reduction and Compliance Europe Conference on 8 December 2015

142. FCA consults on Market Abuse Regulation policy proposals and Handbook changes

     Press Releases Published: 05/11/2015 Last modified: 05/11/2015
     From this date the principal legal requirements relating to market abuse in the UK will be set out in the EU Market Abuse Regulation and its implementing measures. ... CP15/35: Policy proposals and Handbook changes related to the implementation of the

143. The Financial Conduct Authority (FCA) bans Kweku Mawuli Adoboli from the financial services industry

     Press Releases Published: 15/10/2015 Last modified: 18/11/2021
     Following convictions on 20 November 2012 of two counts of fraud by abuse of position, the Financial Conduct Authority (FCA) has banned Kweku Mawuli Adoboli from performing any function in relation to any regulated financial activity.

144. FCA secures High Court Judgment awarding injunction and over £7 million in penalties against five defendants for market abuse

     Press Releases Published: 11/08/2015 Last modified: 18/11/2021
     The High Court today held that the Financial Conduct Authority (FCA) is entitled to permanent injunctions and penalties totalling £7,570,000 against Da Vinci Invest Ltd, Mineworld Ltd, Mr Szabolcs Banya, Mr Gyorgy Szabolcs Brad and Mr Tamas Pornye

145. Fair and effective markets review

     Speeches Published: 14/07/2015 Last modified: 23/10/2015
     Regulatory reforms in Europe like MiFID 2 and the new Market Abuse Regulation, and in the US like the Dodd-Frank Act. ... For example, closing the gap that market abuse rules do not cover spot FX markets.

146. Investor engagement in a changing regulatory landscape

     Speeches Published: 13/07/2015 Last modified: 14/07/2015
     Persons who do not follow these steps are not necessarily committing market abuse, although they are open to allegations of having done so. ... In that case Mr Hannam was found to be guilty of committing market abuse by disclosing inside information

147. Debating trust and confidence in banking

     Speeches Published: 28/05/2015 Last modified: 28/05/2015
     Speech by Martin Wheatley, Chief Executive of the FCA, delivered at the ResPublica Vocational Banking event in London. This is the text of the speech as drafted, which may differ from the delivered version.

148. Three charged with insider dealing

     Press Releases Published: 28/04/2015 Last modified: 05/04/2023
     As part of an investigation by the FCA Manjeet Singh Mohal, Reshim Birk and Surinder Pal Singh Sappal all of Southall, Middlesex appeared before Westminster Magistrates’ court in respect of offences of insider dealing.

149. Kenneth Carver fined £35,212 for insider dealing

     Press Releases Published: 30/03/2015 Last modified: 30/11/2016
     Carver knew that there was a risk of market abuse and traded anyway. ... Market abuse is a serious offence and today’s fine reflects the fact that we will not hesitate in taking action against individuals who act on inside information.

150. Ryan Willmott sentenced to 10 months imprisonment for insider dealing

     Press Releases Published: 27/03/2015 Last modified: 05/04/2023
     Ryan Willmott, the former group reporting and financial planning manager for Logica PLC, who pleaded guilty to three counts of insider dealing on 26 February 2015, has today been sentenced to 10 months imprisonment. He was also ordered to pay