Rob Mason
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New regulation will reinforce market abuse surveillance in the energy market
A new law aims to protect against market abuse manipulation and reinforce market surveillance. We asked experts in the energy market for their views.
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Regulators try to shore up trading venue perimeter
We compare guidance issued by the FCA and ESMA.
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Breadth of regulatory remit and challenges highlighted in FCA Annual Report
The report takes in the first year of the FCA’s three-year plan, including work on protecting consumers, ESG and crypto regulation.
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FCA Market Watch 74 highlights Transaction Reports
The latest edition of FCA Market Watch, number 74, covers Transaction Reports and market conduct issues.
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Surveillance leaders apply more resource in leveraging data, tools and people
At a recent monitoring conference, hosted by XLOD, a number of global surveillance leaders gave their views on the oversight of eComms.
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FCA proposes simpler listing rules to make UK more competitive
FCA says it will “reform and streamline” listing rules to attract a wider range of companies, encourage competition and improve choice for investors.
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FCA outlines market abuse prevention best practice at CFD firms
Regulator’s granular observations useful to other market participants in order to ensure that their surveillance approach meets expectations.
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Growing focus on voice as compliance surveillance leaders tackle comms channel proliferation
Firms need to up their game to meet regulator expectations.