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...

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...

Executive FCA Board member and Director of Enforcement and Financial Crime
By EU Etrading On Friday, October 10th, 2014
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Two former directors of Pritchard Stockbrokers fined and banned for recklessly failing to protect client money

Executive FCA Board member and Director of Enforcement and Financial CrimeThe Financial Conduct Authority (FCA) has fined and banned David Gillespie, Managing Director, and David Welsby, Finance Director, of stockbroking More...

Marco Dunand, Mercuria CEO
By EU Etrading On Monday, September 22nd, 2014
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Mercuria Announces UK Financial Conduct Authority Authorization

Mercuria announced 22 September that Mercuria Europe Trading Limited (Registered in England) is now authorized and regulated by the Financial Conduct Authority (FCA) under the Financial Services and Markets Act More...

FCA Lobby
By EU Etrading On Sunday, September 21st, 2014
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Poll: How do you price research under the FCA commission dealing rules?

This poll isn’t specific to Europe and has global implications. The UK’s regulator the FCA is attempting to ensure that buy-sides are spending client commission on research and corporate access reasonably More...

Executive FCA Board member and Director of Enforcement and Financial Crime
By EU Etrading On Thursday, August 28th, 2014
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Deutsche Bank Fined £4.7m for Failing to Properly Report Transactions

Executive FCA Board member and Director of Enforcement and Financial CrimeDeutsche Bank AG London Branch (Deutsche) has been fined £4,718,800 by the Financial Conduct Authority (FCA) for incorrectly reporting transactions More...

CME Group Executive Chairman and President Terry Duffy
By EU Etrading On Tuesday, March 11th, 2014
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CME Group Receives Regulatory Approval for Launch of its European Exchange

CME Group Executive Chairman and President Terry DuffyCME Group, the world’s leading and most diverse derivatives marketplace, announced today it has received approval from the United Kingdom’s Financial More...

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