The FCA has today fined Gavin Breeze £59,557 for engaging in market abuse in the form of insider dealing and has also publicly censured him for improper disclosure. The FCA found that Mr Breeze, who holds several directorships of private companies and is also a Non-Executive Director of one AIM listed business, attempted to sell…
Read more"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 moreSuspicious 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 moreFor 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 moreAustralian 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 upholds its direction toward conservative trading by implementing the Delta Surveillance system to stem potential abuse
Read moreCMC: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 moreThe 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 is no longer a haven for traders and brokerages wishing to operate under minimal regulatory requirements
Read moreBritain'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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