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Internal probes in the spotlight following high-profile cases as legal regulator prepares new guidance.
We spoke to the author of Behind the Screens: Understanding Employee Surveillance in Financial Services.
A new law aims to protect against market abuse manipulation and reinforce market surveillance. We asked experts in the energy market for their views.
Risk acceptance and supervisory visits also discussed at Global Relay’s quarterly roundtable in London.
The company failed to ensure that thousands of orders were not timely surveilled for spoofing.
“Fear of running out of bread” claimed as one reason for video surveillance of staff.
The bank failed to surveil billions of trades on at least 30 global trading venues.
Our second report from the City & Financial Summit summarizes what practitioners say about developments in market manipulation enforcement.