Tag: market abuse

The FCA's launch of its inaugural Enforcement Watch newsletter marks a notable evolution in how enforcement expectations are communicated to the market. According to...

The UK’s Financial Conduct Authority (FCA) has issued a stark warning to financial services firms after bringing insider dealing charges against two individuals following...

ACA Group has launched a new Market Abuse Risk Framework to help UK and European buy-side firms strengthen their surveillance and compliance programmes. The governance,...

Kaizen has launched MAR360, a new suite of products designed to change the way firms approach market abuse detection and prevention. The company said the...

In the increasingly interconnected world of financial markets, one of the most persistent challenges facing firms is the lack of effective cross-market alerting. While companies...

A former analyst at a UK-based investment management firm has been convicted of insider dealing, underlining the Financial Conduct Authority’s (FCA) increased reliance on...

With regulatory fines for inadequate eComms surveillance soaring in 2024, eflow Global has introduced an upgraded version of its AI-driven platform, TZEC.

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...

The Central Bank of Ireland recently conducted a Conduct Risk Assessment of Telephone and Electronic Communications in the securities market. This crucial assessment aimed to evaluate compliance with the Markets in Financial Instruments Directive (MiFID II), especially Article 16(7), which mandates firms to prevent the use of unauthorised communication.

Understand How Compliance Leaders Are Protecting Their Firms Against Market Abuse and Regulatory Risk