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With brokers still struggling with their trade surveillance obligations, here are some common issues to consider when monitoring market abuse.
Before dissolution, the Treasury Sub-Committee on Financial Services Regulations set out its concerns over the FCA’s name-and-shame plans.
Market Watch 79 includes specific examples of failures and the results of a review of automated surveillance model testing.
UK Chancellor calls for a rethink as regulator issues strong defence of its proposals.
Assessing amendments to the regulation on wholesale market integrity and transparency.
As an influential Lords Committee steps in, we gather views from a panel of finance industry experts on the growing storm over FCA plans to name firms under investigation.
The Finnish Financial Supervisory Authority commenced 50% more cases in 2023 compared to 2022.
Finanstilsynet in Denmark made 18 police reports for market abuse during 2023.