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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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