New risk warning rules due in December
Spotlight on fixed income
Firm's financial position misstated
In addition to £129m fine
Emphasis more on proactive supervision than enforcement
The Financial Conduct Authority (FCA) has said fund groups must do more to ensure they control the risk of market abuse, following a thematic review into the issue.
The Financial Conduct Authority (FCA) and North and West Yorkshire police have this morning arrested one male on suspicion of insider dealing and market abuse.
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 diligence in...
The Financial Conduct Authority (FCA) will resume its prohibition case against a proprietary trader following a court's decision to grant the regulator's appeal.