Showing 171 to 180 of 214 search results for Market Abuse and Market.

171. Lloyds Banking Group fined £105m for serious LIBOR and other benchmark failings

     Press Releases Published: 28/07/2014 Last modified: 28/07/2014
     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

172. FCA publishes Final Notice for Ian Hannam and confirms a financial penalty of £450,000

     Press Releases Published: 22/07/2014 Last modified: 22/07/2014
     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

173. Former equities trader charged with insider dealing

     Press Releases Published: 24/06/2014 Last modified: 05/04/2023
     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

174. Regulating high frequency trading

     Speeches Published: 04/06/2014 Last modified: 04/06/2014
     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.

175. Tribunal upholds decision of Financial Conduct Authority to find Ian Hannam guilty of market abuse

     Press Releases Published: 28/05/2014 Last modified: 28/05/2014
     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

176. Former UBS trader banned for failings related to US$2.3 billion unauthorised trading losses by Kweku Adoboli

     Press Releases Published: 01/05/2014 Last modified: 24/11/2021
     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.

177. Leadership and conduct

     Speeches Published: 31/03/2014 Last modified: 31/03/2014
     Speech by Martin Wheatley, Chief Executive, the FCA, at City Week 2014: International Financial Services in the Post-Reform World: Opportunities and Challenges. This is the text of the speech as drafted, which may differ from the delivered version.

178. FCA bans and fines trader £662,700 for manipulating gilt price during QE

     Press Releases Published: 20/03/2014 Last modified: 01/04/2014
     Stevenson's abuse took advantage of a policy designed to boost the economy with no regard for the potential consequences for other market participants and, ultimately, for UK tax payers. ... The FCA has a statutory objective to ensure markets work well

179. Regulatory Developments and the Changing Market Structure

     Speeches Published: 12/03/2014 Last modified: 12/03/2014
     Speech by David Lawton, Director of Markets at the FCA, at the American Bar Association Capital Markets Conference, Law Society, London, Thursday 27 February 2014. This is the text of the speech as drafted, which may differ from the delivered version

180. Fraudster Benjamin Wilson sentenced to seven years imprisonment following successful FCA prosecution

     Press Releases Published: 14/02/2014 Last modified: 22/11/2021
     Benjamin Wilson of Bournemouth, Dorset sentenced to seven years at Southwark Crown Court for defrauding investors of over £21m, following previous guilty pleas for fraud, forgery and operating a collective investment scheme without authorisation