Former equities trader at Schroders Investment Management sentenced for insider dealing

Mark Steward, Director of Enforcement and Market Oversight, FCA

Mark Steward, Director of Enforcement and Market Oversight, FCABetween August 2000 and January 2013, Mr Clarke was employed initially as an assistant fund manager and, from 2006, as an equities trader. In these roles, Mr Clarke received inside information about significant corporate events, mainly anticipated public announcements of mergers and acquisitions. More...

by EU Etrading | Published 1 year ago
Christopher Woolard, director of strategy and competition, FCA
By EU Etrading On Wednesday, March 4th, 2015
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FCA and DWP publish call for evidence on transaction costs

The Financial Conduct Authority (FCA) and the Department for Work and Pensions (DWP) have today published a joint call for evidence on the disclosure of transaction cost information for workplace pension schemes. From More...

Martin Wheatley, chief executive,  FCA
By EU Etrading On Thursday, February 26th, 2015
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IOSCO Reviews Implementation of Financial Benchmark Principles

The International Organization of Securities Commission (IOSCO) today published the Review of the Implementation of IOSCO’s Principles for Financial Benchmarks. The report sets out the findings of IOSCO´s More...

Steven Maijoor, Chairman, European Securities and Markets Authority
By EU Etrading On Thursday, February 26th, 2015
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ESMA publishes review on best execution supervisory practices under MiFID

Steven Maijoor, Chairman, European Securities and Markets AuthorityThe European Securities and Markets Authority (ESMA) has conducted a peer review on how national regulators (national competent authorities or NCAs) More...

Acting Executive Director of Enforcement and Market Oversight, FCA
By EU Etrading On Wednesday, February 25th, 2015
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FCA fines Aviva Investors £17.6m

The Financial Conduct Authority (FCA) has fined Aviva Investors Global Services Limited (Aviva Investors) £17,607,000 for systems and controls failings that meant it failed to manage conflicts of interest fairly. More...

Opinion Poll
By EU Etrading On Friday, February 20th, 2015
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How do you price research under the FCA commission dealing rules?

How do you price research under the FCA commission dealing rules?  More...

Martin Wheatley, chief executive,  FCA
By EU Etrading On Wednesday, November 12th, 2014
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Financial Conduct Authority imposed fines totaling £1.1 billion on five banks in their spot foreign exchange trading

Martin Wheatley, chief executive, FCAThe G10 spot FX market is a systemically important financial market. At the heart of today’s action is our finding that the failings at these Banks undermine confidence in More...

Mark Carney, Governor of the Bank of England
By EU Etrading On Friday, November 7th, 2014
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FSB publishes its eighth progress report on implementation of OTC derivatives market reforms

Mark Carney, Governor of the Bank of EnglandThe Financial Stability Board (FSB) published today its eighth progress report on implementation of OTC derivatives market reforms. G20 Leaders agreed in 2009 to a comprehensive More...

Mark Carney, Governor of the Bank of England
By EU Etrading On Tuesday, October 14th, 2014
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FSB Regulatory framework for haircuts on non-centrally cleared securities financing transactions

Mark Carney, Governor of the Bank of EnglandBased on the initial recommendations to strengthen oversight and regulation of the shadow banking system as set out in its report submitted to the G20 in October 2011, More...

Scott O’Malia, ISDA Chief Executive
By EU Etrading On Tuesday, October 14th, 2014
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Major Banks Agree to Sign ISDA Resolution Stay Protocol

Scott O’Malia, ISDA Chief ExecutiveThe International Swaps and Derivatives Association, Inc. (ISDA) today announced that 18 major global banks (G-18) have agreed to sign a new ISDA Resolution Stay Protocol, which More...

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