The skills needed to carry out the compliance function are changing, and to be effective businesses and professionals need to understand how.
Market abuse
Regulator says the changes will improve transparency and consistency, in addition to helping it act faster, deter misconduct, and maintain confidence in UK markets.
From June 5, 2026, EU Listing Act amendments will change criteria stipulating when issuers must disclose certain inside information under MAR.
A recent UK regulatory action contained some important lessons about trade surveillance.
Compliance
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Surveillance trends, regulator supervision, and the role of AI at wholesale banks and brokers
A synopsis of views and advice on current trends, regulatory supervision, and some practical solutions to the latest challenges.
ACER backs NRA enforcement of REMIT and demands better surveillance from traders.
Observations on what these charges may signal for prediction markets, for the government’s evolving enforcement toolkit, and for market participants.
Bank has been accused of not having in place effective systems and controls to detect and prevent potential market abuse.