Insider List and Information Management under MAR The European Market Abuse Regulations (MAR) have been in effect since July of 2016. Regulatory... READ MORE
Compliance Software for the Financial Control Room Managing a financial trading control room involves balancing a wide variety of tasks. To comply... READ MORE
Key Factors Shaping Market Abuse Regulations During 2020, many factors have shaped the regulations and enforcement actions to maintain market... READ MORE
What Spooked Compliance Officers this year 2020 has been a scary year and there have been a few things that have spooked the most experienced... READ MORE
ESMA Publishes MAR Review Report On September 23rd, the European Securities and Markets Authority (ESMA) published a set of outcomes... READ MORE
Control Room Rules & Regulations With the increased challenges for financial Control Rooms, global regulators continue to pressure... READ MORE
FCA Priorities for the Year Ahead The FCA has stated that a primary focus in 2020 is to mitigate the impact of Covid-19 on the... READ MORE
Criminal Sanctions for Market Abuse in the EU The European Commission has published a report regarding the implementation of CSMAD - Criminal... READ MORE
SEC on COVID19 and Market Integrity On March 23, 2020, the following statement was released from Stephanie Avakian and Steven Peikin,... READ MORE
