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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)
Mar 27, 2019
The FCA Increases Focus on London Hedge Funds
According to recent reports, hedge funds in the City of London have been told to prepare for wide-ranging checks on financial crime...
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