A recent UK regulatory action contained some important lessons about trade surveillance.
UK MAR
Insights from the recent hedge funds event at Global Relay's London offices.
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.
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.
Dear CEO letter to asset managers also highlights market integrity and consumer outcomes as key supervisory priorities.
Process and requirements for an AIM company to transfer listing to the ESCC category under new UK Listing Rules.
Deficiencies compounded human error and led to the accidental execution of $1.4 billion of erroneous orders.