UK MAR
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UK market abuse action flags need for strong surveillance to match risk
A recent UK regulatory action contained some important lessons about trade surveillance.
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Alternative Asset Management Roundtable: The 2026 compliance roadmap
Insights from the recent hedge funds event at Global Relay’s London offices.
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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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FCA reviews inside information handling at firms
FCA Market Watch 83 addresses a number of practical compliance challenges including controlling inside information flow, multiple brokers undertaking market soundings, compliance risks at smaller firms and personal account dealing.
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FCA concerned about conflicts of interest at firms managing private assets
Dear CEO letter to asset managers also highlights market integrity and consumer outcomes as key supervisory priorities.
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What you need to know about transferring from AIM to the Main Market
Process and requirements for an AIM company to transfer listing to the ESCC category under new UK Listing Rules.
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Citi incurs £61.6m in fines for lack of effective trading controls
Deficiencies compounded human error and led to the accidental execution of $1.4 billion of erroneous orders.