Insights
We have been passionate about data for the past 20 years. Our work includes prompting, responding to and reporting on key industry debates. Here you can find all the white papers and surveys we publish from time to time.
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Three Key Compliance Challenges for Asset Managers
If there’s been one certainty for asset manages over the past few years it’s been this: the regulatory landscape is going to...
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FCA Questions Effectiveness of Firms’ Market Surveillance Capabilities
On February 13, Julia Hoggett, Director of Market Oversight at the Financial Conduct Authority (FCA), gave a speech on the implementation of...
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ESMA Reports Back on MAR Sanctions
On November 15, the European Securities and Markets Authority (ESMA) published its annual report into the administrative sanctions issued by national competent...
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Order Surveillance: Creating an Intelligent “Net”
Preparing your firm to contend with catching spoofing, layering and other trading behavior that could run afoul of regulations, is just half...
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