Cantor failed to report suspicious transactions and lacked effective governance arrangements for detecting and reporting them.
Regulator Finansinspektionen issues remark and fine over insider trading and unauthorized trading concerns.
Irish stockbroking firm Goodbody fined for breaching MAR obligations.
The FCA has highlighted continuing concern about ‘flying’ and ‘printing’ and the failure of firm management to deal effectively with both practices.
BGC Brokers LP, GFI Brokers Limited and GFI Securities Limited fined by the FCA for failing to adequately safeguard against potential market abuse.
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.
