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Data quality issues persist at firms according to the FCA
The regulator praises firms for improving the quality of transaction reporting, but points to continuing or recurring reporting issues.
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Energy’s rising importance is matched by regulatory scrutiny
Government concern about the state of the energy markets has led to new rules, and to action by regulators targeted at the energy and commodity sector.
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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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Majority of firms unprepared for costs and challenges of MiCA
Survey finds only 9% of firms are ready to handle the EU’s Markets in Crypto-Assets Regulation.
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Venue and data completeness in the spotlight at GR Bank and broker roundtable
Also discussed in this informative and collegial session was communication surveillance and the focus of recent supervisory visits.
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XLoD event in NYC: Best practices in ecomms, voice and use of AI tools
This dispatch from the recent XLoD event in NY includes best practice tips in ecomms, trade data capture, and using AI effectively.
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XLoD event in NYC: Managing risk, surveillance across the three lines of defense
Discussions of enterprise risk management, surveillance technology, and market abuse feature in the first of two reports.