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).…
Category Hedge Funds & Institutional Asset Managers
Read MoreFCA Intensifies Focus on Transaction Reporting and 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). When investors use overseas or unregulated providers, they risk…
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),…
Navigating 2025 – Regulation beyond tomorrow
As we approach 2025, regulated firms continue to face an evolving regulatory landscape that demands proactive planning and investment. To…
E-Communications Surveillance
Check out the latest edition of PIMFA – Personal Investment Management & Financial Advice Association‘s “Journal”, featuring Emily Wright, our Surveillance specialist…