The Market Abuse Regulation: A complete guide
The Financial Conduct Authority (FCA) has publicly stated that preventing, detecting, and punishing market abuse is one of its core priorities. So how can firms effectively navigate the complexities of the Market Abuse Regulation?
Material non-public information: protect your integrity
Material non-public information is a bit of a mouthful, but you might already know it by another name; insider trading. And the exposure of this sensitive data can result in devastating financial losses and regulatory penalties.
Regulatory Wrap Episode #21: Addressing Non-Financial Misconduct, Insider Trading & #FCA’s Strategy
In Regulatory Wrap for the week to March 1, Rob Mason discusses the FCA’s mission to pursue and prevent non-financial misconduct as well as insider dealing cases.
Artifice and Intelligence – What does AI insider trading mean for regulation?
With a recent demonstration proving that AI is capable of performing illegal trades – and lying about them – where do regulators stand on the ‘AI question’?
Regulatory Wrap Episode 12: FCA Market Watch & Innovative Trading Firm Unveiled
In Regulatory Wrap for the week to November 3, 2023, Rob Mason examines the insights gleaned from the FCA Market Watch 75 report.
$40,000 fine for individual who used personal phone for business
FINRA has issued an individual with a $40,000 fine after he was found to have used a prohibited personal phone for business purposes.
Trouble at the top? SEC charges senior execs with insider trading
The SEC has charged a CCO, CSO, and a Police Chief with insider trading. Are senior leaders muddying the waters when it comes to compliance?
Crypto communication: insider trades and regulatory crusades
The former product manager of cryptocurrency exchange platform Coinbase has been sentenced after being found guilty of insider trading.