-
Cantor Fitzgerald Ireland Limited fined €453k for Market Abuse Regulation breaches
Cantor failed to report suspicious transactions and lacked effective governance arrangements for detecting and reporting them.
-
Stockholm Nasdaq fined $9.6m over regulatory violations
Regulator Finansinspektionen issues remark and fine over insider trading and unauthorized trading concerns.
-
€1.2m fine from Central Bank of Ireland provides lessons on how not to run a surveillance framework
Irish stockbroking firm Goodbody fined for breaching MAR obligations.
-
FCA says that misleading market communication practices persist
The FCA has highlighted continuing concern about ‘flying’ and ‘printing’ and the failure of firm management to deal effectively with both practices.
-
Trade surveillance failures lead to £4.7m in fines for three broker firms
BGC Brokers LP, GFI Brokers Limited and GFI Securities Limited fined by the FCA for failing to adequately safeguard against potential market abuse.
-
Market abuse risk in rates and fixed income markets
The Financial Conduct Authority has identified gaps in surveillance of web-based trading platforms. We examine why firms are not identifying potential market abuse and what they should do about it.