TFS-ICAP fines for printing trades & flying prices – 4 lessons for compliance & control functions
As a reminder TFS – ICAP received fines of £3.4 by FCA and $7 million by the CFTC. Former senior…
Category Market Abuse
Read MoreTFS-ICAP fines for printing trades & flying prices – 4 lessons for compliance & control functions
GameStop et al and Reddit – What are the compliance issues you should consider?
Quick Recap Assuming you are broadly aware of this issue here is a brief recap: Investors getting together on internet…
Global FX Code: Growing Expectations
ESMA’s review of the Market Abuse Regulation places reliance and expectations on the Global FX Code. Particularly in relation to…
Trends in market abuse
Market conduct poses risks to regulated firms irrespective of the markets they are in or the clients they serve. The…
Why is FCA not receiving more non equity related STORs?
For several years now the FCA has been repeating its concern that the reporting of STORs (Suspicious Transaction Order Reports)…
$12.270 bn
Actually $12.42 bn is the total FX fines paid: 24 of which were levied on 5 banks, the “cartel banks”…