Showing 12 to 21 of 133 search results for our market abuse.

12. Market Abuse

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

13. FCA fines three broker firms £4,775,200 for failures relating to the detection of market abuse

    Press Releases Published: 08/12/2022 Last modified: 08/12/2022
    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.

14. FCA fines Sigma Broking Limited £530,000 and bans and fines its former directors following market abuse reporting failures

    Press Releases Published: 06/10/2022 Last modified: 06/10/2022
    Sigma Broking Limited (Sigma) has been fined £531,000 for failing to make reports crucial in fighting potential market abuse and three directors have been fined amounts totalling over £200,000, two of whom have also been prohibited.

15. Fighting financial crime – the force multiplier effect

    Speeches Published: 07/09/2022 Last modified: 07/09/2022
    Speech by Sarah Pritchard, Executive Director, Markets, FCA at the Financial Crime Summit – 1LOD.

16. FCA further bolsters its leadership team as it expands its headcount

    Press Releases Published: 05/07/2022 Last modified: 06/07/2022
    The Financial Conduct Authority (FCA) has appointed six directors as it expands its headcount to meet a growing remit and to achieve its ambitious strategy, which launched in April. The appointments announced today, which fill a mix of new and

17. FCA’s work on market abuse and manipulation – update 17 June 2022

    News stories Published: 17/06/2022 Last modified: 18/06/2022
    Explaining the work we do to tackle market abuse and manipulation.

18. Critical issues in financial regulation: The FCA's perspective

    Speeches Published: 26/04/2022 Last modified: 28/04/2022
    Speech by our CEO, Nikhil Rathi, delivered at City Week 2022.

19. Former Redcentric CFO sentenced to five and a half years imprisonment

    Press Releases Published: 03/03/2022 Last modified: 03/03/2022
    Tim Coleman sentenced to five and a half years imprisonment and disqualified from being a director for ten years.

20. Former CFO and Finance Director guilty of misleading investors in case brought by the FCA, former CEO found not guilty

    Press Releases Published: 11/02/2022 Last modified: 11/02/2022
    Timothy Coleman, Redcentric Plc's former Chief Financial Officer, has been found guilty of 4 charges concerning the making of false and misleading statements to the market.

21. Statement on supervision of commodity derivatives position limits

    Statements Published: 20/12/2021 Last modified: 20/12/2021
    In December 2020, we published a Supervisory Statement setting out our approach to operating the MiFID markets regime after the end of the EU withdrawal transition period.

22. Transforming to a forward-looking, proactive regulator

    Speeches Published: 15/07/2021 Last modified: 15/07/2021
    Speech by our CEO, Nikhil Rathi, delivered at the FCA’s Our Role and Business Plan webinar.