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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.
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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.
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Temperature rises over FCA name-and-shame plans as Hunt intervenes
UK Chancellor calls for a rethink as regulator issues strong defence of its proposals.
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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.