A Guide for Compliance Leaders

Market Surveillance Priorities of Global Regulators

Stay ahead of the risk and catch problems before regulators do.

In our newest report, we analyze the priorities of several global regulators and highlight ways to keep your firm ahead of the curve and ready for future regulatory changes.

Key insights include:

  • An overview of top priorities for SEC, FINRA, CFTC, UK’s Financial Conduct Authority (FCA), European Securities and Markets Authority (ESMA), Canada’s New SRO, Australian Securities & Investments Commission, Monetary Authority of Singapore (MAS), and the Hong Kong Securities and Futures Commission (SFC).
  • An examination of how regulatory attention impacts broker-dealer compliance.
  • 5 key takeaways for regulatory and compliance leaders to combat market abuse, protect their company and employees, and reduce the risk of penalties and fines.

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Top market surveillance priorities for global regulators

Prepare for tightening global trade monitoring regulations.

Priorities For US Regulators

The SEC, FINRA, and CFTC are focused on combating market abuse and ensuring compliance teams have the right trade surveillance capabilities tailored to their risk. These regulators explain their examination, investigation, and enforcement priorities.
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SEC

Compliance with Reg Best Ex conflicts of interest, Reg SHO locates, Reg ATS disclosures

FINRA

Focus on detecting manipulative schemes, algo monitoring to validate code, and proper documentation

CFTC

Improving its own market surveillance to detect price manipulation and disorderly trading

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