Showing 191 to 200 of 214 search results for Market Abuse and Market.

191. FCA fines compliance officer and broker whose actions enabled market abuse to be committed in October 2010

     Press Releases Published: 08/08/2013 Last modified: 17/09/2013
     The Financial Conduct Authority (FCA) has fined David Davis, senior partner and compliance officer of Paul E Schweder Miller & Co, £70,258, and Vandana Parikh, a broker at the same firm, £45,673, for failing to act with due skill, care and

192. Four arrested in FCA insider dealing investigation

     Press Releases Published: 30/07/2013 Last modified: 05/04/2023
     The Financial Conduct Authority (FCA) with the assistance of the Metropolitan Police has this morning executed search warrants in West London.

193. FCA statement regarding David John Hobbs

     Statements Published: 30/07/2013 Last modified: 23/11/2021
     On 29 July 2013 the Court of Appeal allowed the FCA’s appeal regarding the Tribunal’s decision of 22 November 2012 not to impose a prohibition order on Mr David John Hobbs.

194. Royal Bank of Scotland fined £5.6m for failing to properly report over a third of transactions

     Press Releases Published: 24/07/2013 Last modified: 17/09/2013
     The Royal Bank of Scotland (RBS) has been fined £5,620,300 by the Financial Conduct Authority (FCA) for incorrectly reporting transactions they made in wholesale markets, and in some instances, failing to report transactions at all.

195. FCA fines US based oil trader US $903K for market manipulation

     Press Releases Published: 22/07/2013 Last modified: 23/11/2021
     The Financial Conduct Authority (FCA) has fined US based High Frequency Trader, Michael Coscia, US $903,176 (£597,993) for deliberate manipulation of commodities markets.

196. Chairman’s speech

     Speeches Published: 18/07/2013 Last modified: 18/07/2013
     Speech by FCA Chairman, John Griffith-Jones, at the Annual Public Meeting, London. This is the text of the speech as drafted, which may differ from the delivered version.

197. Keynote address: Financial crime in the FCA world

     Speeches Published: 01/07/2013 Last modified: 18/07/2013
     Speech by Tracey McDermott, Director of Enforcement & Financial Crime, the FCA, at the FCA Financial Crime Conference, London. This is the text of the speech as drafted, which may differ from the delivered version.

198. Two arrested in FCA insider dealing investigation

     Press Releases Published: 02/05/2013 Last modified: 05/04/2023
     On the 30 April the Financial Conduct Authority (FCA) with the assistance of the City of London Police Economic Crime Directorate executed a search warrant in West London.

199. FCA publishes its Annual Funding Requirement for 2013/14

     Press Releases Published: 09/04/2013 Last modified: 15/04/2013
     The Financial Conduct Authority (FCA) has announced its Annual Funding Requirement (AFR) for 2013/14. On 1 April 2013 the FCA and the Prudential Regulation Authority (PRA) replaced the Financial Services Authority (FSA). The Bank of England has

200. FCA business plan and risk outlook published

     Press Releases Published: 23/03/2013 Last modified: 01/05/2013
     The Financial Services Authority (FSA) has published the business plan and risk outlook for the Financial Conduct Authority (FCA) for 2013/14. The FSA will be replaced by the FCA and the Prudential Regulation Authority (PRA) on 1 April 2013.