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FCA Dear CEO letter and AI tools discussed at roundtable
Compliance professionals tackled current challenges at the latest Hedge Funds Global Relay event in London.
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Increase in suspected insider trading, and more inspection revealed in Danish FSA report
The Financial Supervisory Authority in Denmark undertook more inspections and reduced investigation times.
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FIN-FSA fines Savcor Technologies, and BBS-Bioactive Bone Substitutes
The failures included omissions to notify managers’ transactions on time, and not informing individuals about their regulatory obligations.
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IOSCO thematic review pinpoints key challenges to effective market surveillance
Proliferation of venues and assets, data challenges as well as rapid technological change identified as key concerns.
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FCA concerned about conflicts of interest at firms managing private assets
Dear CEO letter to asset managers also highlights market integrity and consumer outcomes as key supervisory priorities.
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Consultation provides insights into FCA’s future crypto regulation regime
The FCA has gathered views from stakeholders on approaches to crypto regulation. We summariz e some key takeaways.
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XLOD London 2024: Trade surveillance in the spotlight
Panellists from RBC, Deutsche Bank, TP ICAP and Lloyds discussed the future of trade surveillance.
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SEC announces enforcement results for fiscal year 2024
The SEC announced that it collected $8.2 billion in monetary penalties for FY 2024, the highest amount for the fines in the regulator’s history.