Tag: market abuse
Navigating the risks: The urgent need for effective MNPI management
In recent years, the management of Material Non-Public Information (MNPI) has emerged as a significant concern within the compliance sphere. Regulatory bodies in the...
Custodia’s CC1 Service: Revolutionizing communication compliance in the era of hybrid...
The Central Bank of Ireland recently conducted a Conduct Risk Assessment of Telephone and Electronic Communications in the securities market. This crucial assessment aimed to evaluate compliance with the Markets in Financial Instruments Directive (MiFID II), especially Article 16(7), which mandates firms to prevent the use of unauthorised communication.
Combating Market Abuse: The Emerging Challenges and Solutions in the Age...
Compliance within the financial services industry has taken a new turn as online trading and the emergence of 'finfluencers' on social media platforms have magnified the risks of market manipulation. The shift in the landscape demands greater attention to the prevention, detection, and mitigation of market abuse.
Global regulators turn the heat up on trade surveillance: How can...
In a recent post, RegTech firm Eventus outlined key reasons why practitioners must be the key drivers behind trade compliance.
Navigating market abuse enforcements: current focus and future implications
eFlow Global recently outlined some of the biggest challenges around navigating market abuse enforcement and future implications.
Canadian Securities Administrators partners with Kx
The Canadian Securities Administrators (CSA) has become the latest regulator to turn to Kx to meet its advanced surveillance requirements.
