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 analyse 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 the SEC, FINRA, CFTC, FCA, ESMA, Canada's New SRO, Australian Securities & Investments Commission (ASIC), Monetary Authority of Singapore (MAS), and 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.

Download the free report
Top market surveillance priorities for global regulators

Prepare for tightening global trade monitoring regulations.

Priorities For European Regulators

The UK’s Financial Conduct Authority (FCA) and the European Securities and Markets Authority (ESMA), along with national authorities, are combating market abuse with updated guidance and enforcement actions.
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FCA

Upgrading its own market surveillance and, for violations, will consider the severity and deterrence value when levying enforcement

ESMA

Developing tools for cross-border surveillance and cooperation with National Competent Authorities (NCAs)

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