Showing 192 to 201 of 219 search results for market abuse.

192. Market Abuse

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

193. Statement on wholesale gas market manipulation

     Statements Published: 07/11/2013 Last modified: 07/11/2013
     The physical gas market is directly regulated by Ofgem for market abuse purposes, with the FCA responsible for regulating the financial derivatives based on this market. ... We have each concluded that we could find no evidence in this instance of market

194. The FCA strengthens the listing rules to enhance protection for shareholders

     Press Releases Published: 05/11/2013 Last modified: 27/11/2013
     By safeguarding minority interests from abuse by controlling shareholders, these changes will promote market integrity and empower minority shareholders to hold the companies they invest in to account.”. ... The FCA has an overarching strategic

195. Financial services regulation and enforcement: recent developments and emerging issues

     Speeches Published: 09/10/2013 Last modified: 10/10/2013
     Speech by Tracey McDermott, Director of Enforcement and Financial Crime at the NERA Economic Consulting seminar, London. This is the text of the speech as drafted, which may differ from the delivered version.

196. 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.

197. 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

198. 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.

199. 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.

200. 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.

201. 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.

202. 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.