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Common risks asset managers are facing as a result of their day-to-day trading activities.
Also discussed in this informative and collegial session was communication surveillance and the focus of recent supervisory visits.
With brokers still struggling with their trade surveillance obligations, here are some common issues to consider when monitoring market abuse.
Market Watch 79 includes specific examples of failures and the results of a review of automated surveillance model testing.
Market Watch 78 shares the regulator’s observations on the quality of instrument reference data (IRD).
Our second report from the City & Financial Summit summarizes what practitioners say about developments in market manipulation enforcement.
The regulator draws attention to the risks with the release of this guidance, coinciding with arrests in London.
The FCA has highlighted continuing concern about ‘flying’ and ‘printing’ and the failure of firm management to deal effectively with both practices.