Welcome to GRIP, Global Relay’s new digital information service on practical compliance and regulatory change.
Please enjoy this free trial of our subscription content service, for a limited time only.
-
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.
-
FCA highlights technology implementation as weak point in market surveillance
Market Watch 79 includes specific examples of failures and the results of a review of automated surveillance model testing.
-
Firm IRD submissions scrutinized by FCA
Market Watch 78 shares the regulator’s observations on the quality of instrument reference data (IRD).
-
Education is key in tackling market abuse, City & Financial Summit is told
Our second report from the City & Financial Summit summarizes what practitioners say about developments in market manipulation enforcement.
-
Organised crime active in equity markets according to the FCA
The regulator draws attention to the risks with the release of this guidance, coinciding with arrests in London.
-
FCA says that misleading market communication practices persist
The FCA has highlighted continuing concern about ‘flying’ and ‘printing’ and the failure of firm management to deal effectively with both practices.
-
FCA fires warning shot over market soundings and insider trading
The UK FCA’s Market Watch 75 has published observations on market soundings, voicing concern about potential insider trading.
-
Comms monitoring takes centre stage with global regulators
If your firm is subject to one or multiple regimes, you should ensure your controls and approach are aligned with the relevant regulators’ expectations.