Insights

Market Abuse (MAR) Nov 12, 2020

Market Surveillance in the Age of COVID: A Regulator’s View

Thanks to COVID-19, the financial services industry has had to adjust to a new normal marked by distributed working models and turbulent...

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Market Surveillance Sep 22, 2020

A Timely Reminder to Ensure Adequate Market Surveillance

The publication by the FCA of a Decision Notice on September 16 will no doubt cause some anxiety within control functions at...

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Market Surveillance Sep 9, 2020

Strategic Technology Adoption for Market Surveillance

Financial sector firms increasingly “get” market surveillance. Once seen as a costly extravagance, firms have come to realize that market surveillance technology...

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Market Abuse (MAR) Sep 8, 2020

RIMES Named a Leading Trade Surveillance Technology Provider by Greenwich Associates

RIMES’ RegFocussm Market Surveillance solution named as one of the top trade surveillance solutions for financial services firms. New York, September 8th,...

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