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We spoke to Emma Parry about her role as an expert witness in a high court case, her experience as head of global conduct risk and the fallout of recent whistleblowing cases.
IOSCO’s final report highlights five good practices to ensure market resilience and investor confidence.
The Citi case highlighted compliance deficiencies compounded by human error. Here are some practical tips to avoid making the same mistakes.
The issues resulted in trade surveillance gaps in connection with multiple venues and trading systems.
The proposal includes a new RTS that converts current guidelines on the cost of market data into legal obligations.
The Australian Securities & Investments Commission’s latest actions and news, May 20 – 24, 2024.
Charges relate to unauthorized financial promotions of FX and CFDs.
The Australian Securities & Investments Commission’s latest actions and news, May 6 – 10, 2024.