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43 results found

Article

Dentons | United Kingdom | 20 May 2016

FCA announces insider dealing sanctions

FCA has: banned and fined Mark Taylor, a financial adviser formerly of Towry Law, for trading off the back of inside information accidentally

Article

Dentons | United Kingdom | 13 May 2016

FCA announces insider dealing convictions

FCA has announced two convictions in the case it brought as part of Operation Tabernula. Martyn Dodgson, an investment banker, and Andrew Hind, a

Article

Dentons | United Kingdom | 6 May 2016

FCA creates STOR page

FCA has created a new page on its website devoted to Suspicious Transaction and Order Reports (STOR) under EU MAR. The page gives information on

Article

Dentons | United Kingdom | 29 Apr 2016

FCA consults on EU MAR enforcement

FCA is consulting on proposed changes to the Decision Procedure and Penalties Manual (DEPP) and EG which set out how FCA will enforce EU MAR. This

Article

Dentons | United Kingdom | 22 Apr 2016

FCA decides to ban former LIBOR trader

FCA has published its Decision Notice concerning a former derivatives trader at UBS, Arif Hussein, banning him from performing any significant

Article

Dentons | United Kingdom | 1 Apr 2016

FCA consults on changes to Knowledge Base

FCA is consulting on proposed changes to the UK Listing Authority (UKLA) Knowledge Base, which constitutes formal FCA guidance. Co

Article

Dentons | United Kingdom | 4 Mar 2016

FCA bans former Deutsche trader following LIBOR fraud

FCA has banned Michael Ross Curtler, a former trader at Deutsche Bank AG, from the UK financial services industry for lacking honesty and integrity

Article

Dentons | United Kingdom | 12 Feb 2016

FCA bans former compliance officer in relation to market abuse failings

In March 2015 the Upper Tribunal upheld FCA's decision to fine Tariq Carrimjee of Somerset Asset Management LLP £89,004 for failing to escalate the

Article

Dentons | United Kingdom | 5 Feb 2016

FCA writes to CEOs on CFD compliance

FCA has written a Dear CEO letter following its review of new client procedures for firms offering contracts for difference (CFD) products on a

Article

Dentons | United Kingdom, European Union | 23 Dec 2015

FCA consults on MiFID 2 implementation

FCA has published its consultation paper on how it will change its rules to address the markets aspects of MiFID 2. See our detailed summary for

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