FCA-Market Watch 79
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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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Consumer Duty, bundling, reporting and DORA discussed at compliance roundtable
Rumors addressed included the SEC being active in London and a crackdown on illegal marketing.
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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.