Top Tips for Strengthening Your Market Abuse Risk Assessment
Why firms must be ready for rapid regulatory scrutiny Regulators are asking for market abuse risk assessments more frequently and with less…
Category Market Abuse
Read MoreTop Tips for Strengthening Your Market Abuse Risk Assessment
Pre–Hedging and The IOSCO Paper: What dealers and clients need to know
What is Pre-Hedging? We will assume a bit of knowledge here. Broadly speaking pre-hedging is when a dealer, who is…
FCA Intensifies Focus on Transaction Reporting and STORs
The Financial Conduct Authority (FCA) has significantly strengthened its surveillance of transaction reporting and Suspicious Transaction and Order Reports (STORs).…
A New Look at Market Conduct
The financial markets thrive on integrity and trust. Regulators, investors, and counterparties expect that prices are formed in fair, transparent,…
CFD’s – FCA turns up the heat on investor protection
The FCA recently warned investors about trading Contracts for Difference (CFDs). FCA is concerned that when investors use overseas or…
FCA Intensifies Focus on Transaction Reporting and STORs Amid Growing Market Abuse Risks
The Financial Conduct Authority (FCA) has significantly strengthened its surveillance of transaction reporting and Suspicious Transaction and Order Reports (STORs),…