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With brokers still struggling with their trade surveillance obligations, here are some common issues to consider when monitoring market abuse.
Shadow trading case extends potential insider trading liability, creating considerable risk for both companies and insiders.
Assessing amendments to the regulation on wholesale market integrity and transparency.
The Finnish Financial Supervisory Authority commenced 50% more cases in 2023 compared to 2022.
Biotech executive Matthew Panuwat bought options on stock of another company he was not privy to inside information about. Was it insider trading?
The regulator draws attention to the risks with the release of this guidance, coinciding with arrests in London.
The Australian Securities & Investments Commission’s latest actions and news, January 15-26, 2024.
The UK FCA’s Market Watch 75 has published observations on market soundings, voicing concern about potential insider trading.