Tag: insider trading

FCA’s Market Watch 79 highlights data and algorithmic issues in surveillance

The Financial Conduct Authority (FCA) has reminded firms about the significance of data integrity and algorithmic governance in market abuse surveillance tools, as outlined in its Market Watch 79.

Quantifind’s new features target market manipulation and more in 2024

RegTech company Quantifind, prides itself on its commitment to delivering high quality risk intelligence solutions. As part of this, the company recently introduced new product features and functionalities at the start of this year, marking a significant advancement in its capabilities. 

Beyond finance: How compliance is expanding to combat workplace misconduct

In the financial sector, the spotlight has recently intensified on non-financial misconduct, spurred by the Financial Conduct Authority's (FCA) focused initiatives and investigations into issues like sexism, bullying, and discrimination.

Navigating the risks: The urgent need for effective MNPI management

In recent years, the management of Material Non-Public Information (MNPI) has emerged as a significant concern within the compliance sphere. Regulatory bodies in the...

Navigating market abuse enforcements: current focus and future implications

eFlow Global recently outlined some of the biggest challenges around navigating market abuse enforcement and future implications.

Federal Reserve fines EagleBank $9.5m for regulation breach

The Federal Reserve Board has fined Maryland-based EagleBank $9.5m for violating the board’s insider lending regulation.

FCA launches insider trading case against former Goldman Sachs employee

The UK's financial markets watchdog has commenced criminal proceedings against a former Goldman Sachs analyst and his brother, accusing them of insider trading.

Insider dealer ordered to pay £3.9m

Having been found guilty of inside trading in June 2019, a former day trader has now been ordered by Southwark Crown Court to pay £3.9m via a consent confiscation order.

Swedbank is being investigated by the Swedish Financial Supervisory Authority for...

The Swedish Financial Supervisory Authority (SFSA) has initiated an investigation into Swedbank for suspected breaches of market abuse.

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