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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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Market Surveillance Nov 8, 2018

Order Surveillance: Creating an Intelligent “Net”

Preparing your firm to contend with catching spoofing, layering and other trading behavior that could run afoul of regulations, is just half...

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