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Challenge in UK wholesale markets – assessing the next decade of risk
A dive into the FMSB’s findings on wholesale markets: changes to market participation, trade execution electronification, new asset classes, and shifting geography markets.
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FCA promises faster enforcement and greater rewards for cooperation
Speech by Therese Chambers, joint executive director of enforcement and market oversight, delivered at the City & Financial Global FCA Investigations and Enforcement Summit.
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What international companies need to know about SEC cross-border fraud task force
The press announcement also warns that gatekeepers, particularly auditors and underwriters, will be under the SEC’s microscope.
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Google given ‘strategic market status’ by UK competition regulator
The CMA has said the decision was made following extensive consultation and after Google met legal tests.
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Switzerland boosts administrative cooperation between international authorities
Clients could lose rights to be heard and appeal when a foreign authority requests international admin assistance on possible violation of market abuse provisions.
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FCA secures convictions in insider trading case linked to legitimate wall crossing
In addition to receiving suspended prison sentences, the brothers were ordered to pay back more than £280,000 ($375,000) in restitution.
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FCA Market Watch: Remediation, back reporting and breach notifications
FCA highlights issues in MiFID reporting requirements and advises firms to update and improve their processes.
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How the new age of AI can guard global markets
We need to understand the creative potential of AI if we are to feel the benefits.