Showing 212 to 219 of 219 search results for market abuse.

212. Market Abuse

     https://www.fca.org.uk/markets/market-abuse

213. Tribunal upholds FSA decision to fine firm £8m for market abuse

     Press Releases Published: 28/01/2013 Last modified: 28/01/2015
     The Upper Tribunal (Tax and Chancery Chamber) has directed the Financial Services Authority (FSA) to fine Swift Trade, a non-FSA authorised Canadian company with global operations, £8m for market abuse. The Tribunal described this as being “as

214. Five arrested in FSA insider dealing investigation

     Press Releases Published: 22/01/2013 Last modified: 29/03/2013
     The Financial Services Authority (FSA) with the assistance of the Police Forces, in the City of London, the East Midlands and the North of England have this morning executed four search warrants in the City of London, Lincolnshire, Leicestershire

215. 2013 fines

     News stories Published: 02/01/2013 Last modified: 26/03/2024
     Fines published during the calendar year ending December 2013.

216. FSA issues fines totaling £250,000 on Plus500UK Limited (Plus500) and James Sharp and Company (James Sharp)

     Press Releases Published: 24/10/2012 Last modified: 22/07/2013
     The Financial Services Authority (FSA) has fined two firms, Plus500UK Limited (Plus500) £205,128 and James Sharp and Company (James Sharp) £49,000 for failing to provide accurate and timely transaction reports to the FSA in respect of all the

217. FSA fines spread bet broker £490,000 for transaction reporting failures

     Press Releases Published: 20/01/2011 Last modified: 22/07/2013
     The Financial Services Authority (FSA) has fined City Index Limited (City Index) £490,000 for failing to provide accurate transaction reports to the FSA.

218. FSA fines Société Générale £1.575 million for failures in transaction reporting

     Press Releases Published: 25/08/2010 Last modified: 22/07/2013
     The Financial Services Authority (FSA) has fined the London branch of Société Générale (SocGen) £1,575,000 for failing to provide accurate transaction reports to the FSA. The fine reflects the seriousness of SocGen’s failure to submit

219. FSA fines Commerzbank for failures in transaction reporting

     Press Releases Published: 27/04/2010 Last modified: 22/07/2013
     The Financial Services Authority (FSA) has fined the London branch of Commerzbank AG (Commerzbank) £595,000 for failing to provide accurate transaction reports to the FSA.

220. FSA issues fines totalling £4.2m for transaction reporting failures

     Press Releases Published: 08/04/2010 Last modified: 22/07/2013
     The Financial Services Authority (FSA) has fined three firms a total of £4.2m for failing to provide accurate and timely transaction reports to the FSA.