RTS 6
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ESMA supervisory briefing on algorithmic trading in the EU
Key points and practical implications in the areas of governance, testing, outsourcing, and pre-trade controls.
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FCA shares findings following UK review of algorithmic trading controls
The FCA’s review is intended to help PTFs comply with existing requirements and does not create any new obligations.
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Dealers in principal under the regulatory spotlight
High level summary of the FCA’s supervisory priorities vis-a-vis Principal Trading Firms – key takeaways and top tips.