News
Search results
Showing 21 to 30 of 50 search results for Market Abuse and Market Manipulation.
-
Effective global regulation in capital markets
Speech by Megan Butler, Director of Supervision - Investment, Wholesale and Specialists at the FCA, delivered to ICI Global Conference, London -
FCA fines bond trader £60,000 for market abuse
The Financial Conduct Authority (FCA) has imposed on Paul Walter, a former Bank of America Merrill Lynch International Limited (BAML) bond trader, a financial penalty of £60,090 for engaging in market abuse. -
Effective compliance with the Market Abuse Regulation – a state of mind
We need to take all the steps we can to prevent market abuse from taking place within our markets. ... In terms of protecting the markets from the risk of market abuse and manipulation, we all play a part in this - in ensuring that venues and market -
A Better View
Speech by Mark Steward, Director of Enforcement and Market Oversight at the FCA, delivered at the AFME European Compliance and Legal Conference 2017 -
Tribunal upholds the Financial Conduct Authority’s decision to impose a partial ban on Tariq Carrimjee
On 20 October 2016 the Tribunal upheld the Financial Conduct Authority’s (FCA) decision to ban Tariq Carrimjee of Somerset Asset Management LLP (Somerset) from carrying out the compliance oversight and money laundering reporting significant -
FCA welcomes a significant milestone in the development of standards in FX markets through the publication of the BIS Global FX Code
It represents a key step in the development of principles governing trading practices in FX markets worldwide. ... the rules against market manipulation and abuse. -
FCA secures High Court Judgment awarding injunction and over £7 million in penalties against five defendants for market abuse
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 -
Fair and effective markets review
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. -
Tribunal partly upholds the Financial Conduct Authority’s decision to fine Tariq Carrimjee for assisting a client to commit market abuse
in market manipulation, and that this risk should have been apparent to Carrimjee. ... In November 2011 Goenka was fined $9,621,240 (approximately £6 million) for market abuse. -
From intellectual certainty to debate
In other words, the fact that participants were moving the market in their direction and that they profited from it, was not a manipulation. ... guidelines. Alongside this, we have market structural changes that should also make markets safer and fairer,