Keeping watch – Key learnings from the FCA’s Market Watch
The U.K. regulator’s Market Watch newsletter provides insight into areas of focus, investigatory findings, and potential upcoming enforcement priorities, and is a must-read for firms looking to stay on the right side of regulation.
Regulatory Wrap Episode 18: Market Watch 76 – Decoding Market Dynamics and the FCA’s Evolution
In Regulatory Wrap for the week to February 9, 2024, we share insight into the FCA's recently published Market Watch 76 report, and how concerns around potential market abuse and 'flying and printing' that were first raised back in 2015 are still causing regulatory rumblings today.
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.
Regulatory Wrap Episode 10: Exploring the SEC’s 2024 Examination Process
In Regulatory Wrap for the week to October 20, Jennie Clarke summarizes the SEC’s 2024 Examination Priorities and what the regulator plans to concentrate on in the coming year.
Regulatory Wrap Episode 9: Navigating Compliance Across Messaging Channels
In Regulatory Wrap for the week to October 13, we reflect on a recently issued SEC fine against a former industry analyst for insider dealing on Xbox audio.
Regulatory Wrap Episode 8: Exploring FINRA’s Proposed Rule 3110c Amendment
In Regulatory Wrap for the week to October 6, we deliberate regulators' proposal to modernize processes by making updates to Rule 3110c, which affects remote inspections.