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Latest News
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XLOD London 2024: Regulator insights on the future of risk management and controls
This panel discussion featured experts from the National Futures Association and Dutch financial markets authority AFM.
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Stockholm Nasdaq fined $9.6m over regulatory violations
Regulator Finansinspektionen issues remark and fine over insider trading and unauthorized trading concerns.
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10 key things market participants should know about the EU REMIT Review
Assessing amendments to the regulation on wholesale market integrity and transparency.
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New regulation will reinforce market abuse surveillance in the energy market
A new law aims to protect against market abuse manipulation and reinforce market surveillance. We asked experts in the energy market for their views.
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Concerns over complete venue coverage and FCA ‘name and shame’ approach at compliance roundtable
Risk acceptance and supervisory visits also discussed at Global Relay’s quarterly roundtable in London.
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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.
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€1.2m fine from Central Bank of Ireland provides lessons on how not to run a surveillance framework
Irish stockbroking firm Goodbody fined for breaching MAR obligations.
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“We need to work smarter” says FCA enforcement chief
Therese Chambers outlined new enforcement strategy to speed up investigations and clarified new enforcement publicity proposals.