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FCA MAR
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FCA reviews inside information handling at firms
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.
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FCA concerned about conflicts of interest at firms managing private assets
Dear CEO letter to asset managers also highlights market integrity and consumer outcomes as key supervisory priorities.
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Citi incurs £61.6m in fines for lack of effective trading controls
Deficiencies compounded human error and led to the accidental execution of $1.4 billion of erroneous orders.