Closing the Gap of Market Abuse Surveillance

30 May 2019

Market Abuse is nothing new, but the updated Market Abuse Regulations (MAR) in 2016 significantly raised the bar in terms of the requirements needed to address it and the punishments for compliance failure. Having conducted a survey on MAR in 2016, PwC UK has recently released its new Market Abuse Surveillance Survey for 2019 and it makes for fasc...

eComms Compliance Challenges under MiFID II and MAR

16 Oct 2018

In today financial markets, compliance officers face a haystack of digital information to sift through, for the needles that indicate market abuse or misbehaviour. The question is, how to find those needles amongst all the hay of normal market activity? Malicious behaviour can in fact be weeded out when the activity surrounding the placement and e...

Capital Markets Technology

MiFID II Is Here But the Regulators Are Just Getting Started

10 Apr 2018

Now that MiFID II is live, how can firms move from a tactical approach to compliance to a more strategic approach to the organisation of record-keeping processes for electronic data communications? MiFID II may have come a little too quickly for some companies. Its scope, the slow pace of its formulation and the myriad interpretations of its applic...