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Market Abuse (MAR) Aug 8, 2019

The FCA Highlights Importance of Robust Insider List Management

In the latest (August 2019) edition of the Financial Conduct Authority’s (FCA) Market Watch newsletter, the Regulator focused on the important topic...

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Market Surveillance Jul 22, 2019

The FCA and Market Surveillance: Trouble in STOR?

When the EU’s Market Abuse Regulation (MAR) came into force in July 2016, it imposed new market surveillance and reporting requirements on...

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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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