Brokers
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IOSCO highlights conflicts of interest as key risk for online brokers
The consultation report also draws attention to increased trading frequency as well as potentially opaque fee structures.
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Venue and data completeness in the spotlight at GR Bank and broker roundtable
Also discussed in this informative and collegial session was communication surveillance and the focus of recent supervisory visits.
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Tackling market abuse: Blocking threats for brokers
With brokers still struggling with their trade surveillance obligations, here are some common issues to consider when monitoring market abuse.
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FCA work in review April 15 – May 17, 2024
It’s been a relatively quiet period as far as FCA announcements go, so the latest in our regular series of roundups covers a month.