Recent Posts by Lisa Deschamp

VP of Marketing at MCO
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Swedbank under investigation for Market Abuse

Sweden’s financial supervisory authority is investigating Swedbank for suspected breaches of market-abuse regulations.

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FCA: Market Conduct and Transaction Reporting Issues

The most recent FCA  newsletter on market conduct and transaction reporting issues, Market Watch 65, covers how the inappropriate handling of information requirements can compromise market abuse investigations. In addition, the document highlights data quality issues found on transaction reporting under the Markets in Financial Instruments Regulation.

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Outdated Compliance Tech is Causing Nightmares

The thought of an employee working from home and revealing company private information is a compliance nightmare and it deeply frights regulators. Working from home increased Compliance fears and created numerous challenges for firms. Compliance had to carefully think over the best way to monitor conflicts of interest, manage the risks around the identification, handling and disclosure of inside information because of the new circumstances.

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Using Technology to Transform Compliance

Financial institutions never faced as many challenges as during Covid-19. In order to face heightened risk and compliance challenges many firms had to recognize that innovative solutions are essential in all areas of the business.

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Compliance Considerations for SEC registered firms

The main compliance issues facing firms during COVID-19 includes the supervision of employees and business continuity amid uncertainty. The SEC Office of Compliance Inspections and Examinations (OCIE) released a risk alert on August 12 to share some observations with registered firms, investors, and the public generally.

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