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FCA Marketwatch on Market Surveillance

The UK Financial Conduct Authority last week released its latest newsletter, FCA Market Watch 63, which sets out its expectations of market conduct  in the context of increased capital raising events and alternative working arrangements due to coronavirus.

Firms undertaking commercial dealing activities using alternative working arrangements that the FCA has made it critically important that the right controls are in place on market abuse monitoring, conduct and managing conflicts.  During this period of heightened regulatory risks, the FCA has highlighted the following areas that regulatory firms must pay specific focus to:

  • maintaining robust market surveillance and suspicious transactions and order reports (STORs)

KRM22’s Global Risk Platform provides applications to help you address your firm’s regulatory, market, technology and operations risk challenges and to manage your entire enterprise risk profile. KRM22 is a public Group listed on AIM and headquartered in London, with offices in several of the world’s major financial centers.