To what extent are Market Watch releases, the preeminent guidance from the UK Financial Conduct Authority (FCA) about market abuse, a leading indicator of investigations and enforcement action?
This report discusses key insights and solidifies the need to ‘future-proof’ trade surveillance processes against enforcement action.
Key insights include:
- Market Watch 73 continues the FCA’s insistence that firms conduct risk assessments and detect market abuse
- How the FCA fined a broker-dealer for issues about which the regulator previously warned
- The importance of sharing high-quality data for the FCA’s own market surveillance
Protect your firm from risk with these insights.
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