Compliance
Actionable, real-time and data-driven briefings on a dynamic regulatory environment ― to keep ahead of the financial and ESG compliance curve.
AllArticles
5 results
Market Abuse
Social media-induced trade surveillance headache gets worse
Fake news about listed companies and social media posts touting stock tips pose an increasing risk for trade surveillance teams,...
Compliance
UK FCA closes more whistleblowing investigations, makes fewer interventions for causing harm
Fewer investigations of protected disclosures are leading to the UK Financial Conduct Authority (FCA) intervening to prevent harm, according to...
Regulatory Reporting
UK regulator’s grace period ends for MiFID II transaction reporting failures
The Financial Conduct Authority’s (FCA) latest Market Watch publication signals the end of the long grace period for Markets in...
Compliance
OpRisk professionals advised to develop their personal brands
Operational risk professionals should develop their personal brands and do more to persuade colleagues of risk management’s value, said Elena...
Compliance
EU regulators warn on algorithmic collusion risks, say new market abuse rules may be required
European Union financial markets regulators have warned that trading algorithms that use artificial intelligence (AI) models can engage in collusive...
