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A recent UK regulatory action contained some important lessons about trade surveillance.
FCA SYSC 6.1
Requires a firm to implement adequate policies and procedures sufficient to ensure compliance by the firm and its staff with its regulatory obligations as well as prevent the firm from being used to further financial crime.
Rule Overview
Jurisdiction: United Kingdom
Regulator: FCA
Topic: General Requirements
FCA Handbook SYSC 6.1Overview
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With brokers still struggling with their trade surveillance obligations, here are some common issues to consider when monitoring market abuse.
The regulator draws attention to the risks with the release of this guidance, coinciding with arrests in London.
