STORs
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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.
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Oil and gas consultant fined by FCA for insider dealing
The FCA has made the fight against financial crime a priority in its latest five-year strategy, and says it will focus on those who want to harm the system from the inside.
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ACER’s Q2 2025 REMIT Quarterly: Key takeaways for compliance professionals
Ongoing regulatory scrutiny, new transparency tools, and a continued focus on improving surveillance and reporting standards.
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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.