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Tackling market abuse: Assessing surveillance for asset managers

Common risks asset managers are facing as a result of their day-to-day trading activities.

Peter Bowyer, Eoghan Hartigan; Bovill Newgate

A general exterior view of 70 St Mary Axe, informally known as the Can of Ham.
Photo: John Keeble/Getty Images
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The FCA has previously conducted thematic reviews on asset management firms and the risk of market abuse, though a thorough follow-up review has not occurred since the original publication in 2015. Based on recent observations and client examples, and as part of our wider insight series on tackling market abuse

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