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Latest News
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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.
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Finnish companies fined for late notification of managers’ transaction
The three companies failed to notify the information within three days, some took almost a year.
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Tackling market abuse: Assessing surveillance for asset managers
Common risks asset managers are facing as a result of their day-to-day trading activities.
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REMIT: EU Wholesale energy markets update
Covering algorithmic trading notifications; the Energy Trading Annual Industry report; the latest ACER Quarterly Review; and recent REMIT fine.
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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.
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House of Lords forced to close FCA enforcement consultation due to General Election
Before dissolution, the Treasury Sub-Committee on Financial Services Regulations set out its concerns over the FCA’s name-and-shame plans.