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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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