The FCA has gathered views from stakeholders on approaches to crypto regulation. We summariz e some key takeaways.
Hameed Shuja2 min read
Panellists from RBC, Deutsche Bank, TP ICAP and Lloyds discussed the future of trade surveillance.
Alex Viall4 min read
The SEC announced that it collected $8.2 billion in monetary penalties for FY 2024, the highest amount for the fines in the regulator’s history.
Julie DiMauro7 min read
The three companies failed to notify the information within three days, some took almost a year.
Martina Lindberg1 min read
Common risks asset managers are facing as a result of their day-to-day trading activities.
Covering algorithmic trading notifications; the Energy Trading Annual Industry report; the latest ACER Quarterly Review; and recent REMIT fine.
Jean Hurley3 min read
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.
Jean Hurley2 min read