The FCA has today fined Gavin Breeze £59,557 for engaging in market abuse in the form of insider dealing and…
Read MoreTag: market abuse
FCA fined firms and individuals over £1bn for market integrity breaches in 2014
“The public expects fair and orderly markets and level playing fields; they expect those operating in the markets and employed by regulated firms to act with integrity and in the consumers’ best interests. This means, it is the obligation and burden of those firms and employees to maintain market confidence” – Simon Appleton, Director of Regulatory Consulting, Kinetic Partners
Read MoreFCA dealing with flood of market abuse cases
Suspicious Transaction Reports have soared to 1,626 in 2014, whereas a year earlier only 1,308 were generated, however pre-financial crisis, the number was substantially less
Read MoreSwiss regulator takes a swipe at Co-op Bank for market abuse
For four years, Coop Bank manipulated the market price of its own bearer shares. Swiss authorities considered that these actions constituted a serious violation of supervisory provisions on market manipulation and an infringement of its organisational and business conduct requirements
Read MoreASIC assesses ABN AMRO with $40,000 fine for risk management failures
Australian regulatory authority ASIC conducted an investigation into a sequence of events regarding orders on ASX in November 2011, which resulted in a fiscal penalty
Read MoreIEX selects Delta Surveillance to safeguard market integrity and transparency
IEX upholds its direction toward conservative trading by implementing the Delta Surveillance system to stem potential abuse
Read MoreB-next launches analysis tool for forex trading
CMC:Benchmark Fixing Analysis is a comprehensive solution for market abuse and insider trading surveillance of the FX market that will assist firms in meeting the needs of regulators globally.
Read MoreESMA seeks industry consultation on market abuse regulation
The pan-European regulatory authority has produced a response form in order that industry participants may assist in the formation of new rulings on corporate responsibility toward market abuse in electronic trading
Read MoreNew Zealand FMA issues trader with $130,000 fine as regulations toughen
New Zealand is no longer a haven for traders and brokerages wishing to operate under minimal regulatory requirements
Read MoreFCA imposes recruitment ban on the Financial Group for failing to control its Appointed Representatives
Britain’s financial markets regulator has used its suspension power for the first time, banning two of the Financial Group’s subsidiaries
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