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ACER highlights improvements needed in energy market surveillance under REMIT
Reports focus on PPATs’ readiness to identify suspicious activities and examine how NRAs analyze STORs.
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ESMA wants EU regulators to tackle market abuse in crypto assets
Newly released guidelines on supervision argue for risk-based approach, but one where issues are addressed by regulators.
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Cantor Fitzgerald Ireland Limited fined €453k for Market Abuse Regulation breaches
Cantor failed to report suspicious transactions and lacked effective governance arrangements for detecting and reporting them.
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FCA Dear CEO letter and AI tools discussed at roundtable
Compliance professionals tackled current challenges at the latest Hedge Funds Global Relay event in London.
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More suspected abuse of inside information in Finland, FIN-FSA reveals
The Finnish Financial Supervisory Authority commenced 50% more cases in 2023 compared to 2022.
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€1.2m fine from Central Bank of Ireland provides lessons on how not to run a surveillance framework
Irish stockbroking firm Goodbody fined for breaching MAR obligations.
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Organised crime active in equity markets according to the FCA
The regulator draws attention to the risks with the release of this guidance, coinciding with arrests in London.
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Use of STORs stays consistent although Brexit effect begins to bite
Latest ESMA report summarizes STOR patterns across 2010 to 2022 with a focus on 2021/2022.