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Market Abuse (MAR) Feb 22, 2019

FCA Questions Effectiveness of Firms’ Market Surveillance Capabilities

On February 13, Julia Hoggett, Director of Market Oversight at the Financial Conduct Authority (FCA), gave a speech on the implementation of...

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Market Abuse (MAR) Nov 26, 2018

ESMA Reports Back on MAR Sanctions

On November 15, the European Securities and Markets Authority (ESMA) published its annual report into the administrative sanctions issued by national competent...

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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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Market Surveillance Nov 5, 2018

RegFocus Market Suveillance enters Opimas’ Trade Surveillance Shortlisting

Market abuse surveillance requirements vary significantly by type of market participant, applicable regulations, and the trading strategies employed. To assist with trade...

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