FCA Market Watch 83 addresses a number of practical compliance challenges including controlling inside information flow, multiple brokers undertaking market soundings, compliance risks at smaller firms and personal account dealing.
The FCA’s latest Market Watch draws on the regulator’s observations from a series of reviews of corporate finance firms that provide advisory and corporate broking services to small and mid-cap companies.
The regulator’s concern is and has been the heightened risk of market abuse in firms that
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