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Market Surveillance May 31, 2019

Trading Surveillance – The Road to Compliance

Regulatory Call to Action Financial Institutions are being held strictly accountable for the presence and quality of systems and control. Regulators scrutinize...

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Market Abuse (MAR) May 31, 2019

FCA to Increase MAR Enforcement

The UK’s financial sector regulator, the Financial Conduct Authority (FCA) last month published its business plan for 2019/20. The plan provides an...

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Data Management May 30, 2019

MAR Compliance: Europe’s Second Investment Wave Gets Underway

When the Market Abuse Regulation (MAR) came into force in 2016 it was a particularly tough time for compliance officers in Europe’s...

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Market Abuse (MAR) May 1, 2019

Four Things We’ve Learned About MAR Enforcement

Earlier this month, the UK’s Upper Tribunal issued a written decision on a case involving the Financial Conduct Authority (FCA) and a...

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