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Market Abuse (MAR) Oct 9, 2019

EU Regulators Turn Tough on Market Surveillance Compliance

Until recently, there was a noticeable difference in the enforcement model used by the UK’s Financial Conduct Authority (FCA) and its peers...

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Market Surveillance Oct 3, 2019

SOTERIA and RIMES Technologies Partner to Provide a Real-Time Integrated Trade and Communication Surveillance Solution for Financial Services Firms

SOTERIA, the Real-Time Communication Compliance and Surveillance solution, and RIMES Technologies, a leading provider of managed data and RegTech services, have today...

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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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