Showing 31 to 40 of 50 search results for Market Abuse and Market Manipulation.

31. FCA Enforcement and the Wholesale Markets

    Speeches Published: 26/11/2014 Last modified: 30/01/2015
    Speech by Tracey McDermott, Director of Enforcement and Financial Crime at the Financial Conduct Authority (FCA), delivered at the 13th Annual FX Week Europe, London. This is the text of the speech as drafted, which may differ from the delivered

32. Surveillance: The FCA's expectations and toolkits

    Speeches Published: 07/10/2014 Last modified: 07/10/2014
    Speech by Patrick Spens, Head of Market Monitoring, at the British Bankers' Association Market Abuse Conference. This is the text of the speech as drafted, which may differ from the delivered version.

33. Deutsche Bank fined £4.7m for failing to properly report transactions

    Press Releases Published: 28/08/2014 Last modified: 28/08/2014
    Effective market surveillance is critical to maintain the integrity of our markets and depends on accurate and timely reporting of transactions. ... The FCA uses these reports in a number of ways – including identifying and investigating suspected

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

    Press Releases Published: 28/07/2014 Last modified: 28/07/2014
    manipulation, including one manager who was also involved in the Repo Rate misconduct. ... This breached two of the FCA’s fundamental principles for businesses, which underpin its objectives to ensure that markets function effectively, and to promote

35. 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.

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

    Press Releases Published: 20/03/2014 Last modified: 01/04/2014
    This is the first enforcement action for attempted or actual manipulation of the gilt market. ... Stevenson's conduct was a clear case of market manipulation - designed to secure the price of the relevant gilts at an abnormal or artificial level.

37. Price: the cornerstone of markets

    Speeches Published: 03/02/2014 Last modified: 18/01/2017
    Speech by David Lawton, Director of Markets of the FCA at the International Capital Market Association (ICMA) Capital Market Lecture Series 2014 on Monday 3 February 2014. This is the text of the speech as drafted, which may differ from the

38. Statement on wholesale gas market manipulation

    Statements Published: 07/11/2013 Last modified: 07/11/2013
    Statement on wholesale gas market manipulation. Statements First published:. 07/11/2013. Last updated: 07/11/2013. ... We have each concluded that we could find no evidence in this instance of market manipulation.

39. 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

40. FCA decides to fine Tariq Carrimjee in relation to market abuse committed by Rameshkumar Goenka in October 2010

    Press Releases Published: 08/08/2013 Last modified: 17/09/2013
    The Financial Conduct Authority (FCA) has today published a Decision Notice for Tariq Carrimjee of Somerset Asset Management LLP in relation to assisting Goenka.