-
Data quality issues persist at firms according to the FCA
The regulator praises firms for improving the quality of transaction reporting, but points to continuing or recurring reporting issues.
-
Tackling market abuse: Assessing surveillance for asset managers
Common risks asset managers are facing as a result of their day-to-day trading activities.
-
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.
-
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.