How to Implement Market Abuse Regulation and Prevent Abuse
Image Source: FreeImages The financial markets have become increasingly complex and interconnected in recent years, raising the risk of...
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The Data in Compliance Blog
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Nov 2, 20221 min
A look at at regulatory fines
Splitting data from 2018 - (October) 2022. The first chart is a cumulative sum by year. 2019 was going to be a stand out year, but a...
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Nov 26, 20185 min
Take away points from the FCA's speech on AI in financial crime
A speech last week by Rob Gruppetta, Head of the Financial Crime Department at the FCA, provided some interesting insights and a sensible...
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Nov 8, 20184 min
Surveillance: What could a holistic view look like
In this post I look at how evolutionary development of a monitoring, surveillance and analysis tool was the guide for a template of a...
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May 28, 20189 min
Beyond MAR: The next step in surveillance
To detect and report market abuse has been the flavour of many surveillance systems to date. Receiving trades, orders, market data on T+1...
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Nov 18, 20177 min
A front foot approach to bring about a change in culture
We have, over the past few months, seen numerous articles in City AM from various prominent voices all echoing a similar sentiment – that...
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Apr 12, 20174 min
The Senior Managers Regime and the numbers which show the shift
As a consultant helping firms better utilise data, I had been unaware of the finer details of the FCA’s Senior Managers Regime (SMR) and...
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Aug 30, 20164 min
FX remediation programme: your next steps in system design
Last month the UK financial regulator published its outline for next steps in the industry wide FX remediation programme which now...
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