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Showing 1 to 8 of 8 search results for failures relating to the detection of market abuse.
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Market Abuse
https://www.fca.org.uk/markets/market-abuse -
FCA fines three broker firms £4,775,200 for failures relating to the detection of market abuse
The FCA has fined BGC Brokers LP, GFI Brokers Limited and GFI Securities Limited for failing to ensure they had appropriate systems and controls in place to effectively detect market abuse. -
FCA fines Citigroup’s international broker-dealer £12.6m for failures relating to the detection of market abuse
The FCA has fined Citigroup Global Markets Limited (Citigroup Global Markets) £12,553,800 for failing to properly implement Market Abuse Regulation (MAR) requirements, relating to the detection of market abuse. -
How to report suspected market abuse as an individual
Find out the different ways in which an individual can report a concern to us. -
Best practice note - Identifying, controlling and disclosing inside information
This note is for government departments, industry regulators and public bodies to help them in complying with the relevant obligations under MAR. -
How to report suspected market abuse as a firm or trading venue
Find out more about suspicious transaction and order reports (STORs), and how to submit a STOR or a market observation. -
Market Abuse Regulation
The Market Abuse Regulation (MAR) aims to increase market integrity and investor protection. Find out more about the application and structure of the MAR, market abuse offences and exemptions. -
Monitoring orders and transactions – our expectations of firms
Speech by Patrick Spens, Head of Market Monitoring, the FSA, at the Futures Options Association Compliance Forum