Trading Surveillance Advice Hub
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Market Abuse Breakfast Briefing Report - Achieving Compliance in a Changing Regulatory Landscape With an ever-changing financial regulatory environment and the rise in fines being issued by the FSA (£90m fines were issued in 2010 alone), firms are under increasing pressure to achieve market abuse compliance. This report is a summary of key the points highlighted by Ian Mason, Partner at Baker & McKenzie LLP, at a recent industry briefing. |
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Market abuse and achieving compliance in a changing regulatory landscape - Presentation Slides The presentation slides from the Market Abuse Breakfast Briefing (May 26th 2011), are now available to download. Please click here to view the slides from Ian Mason, Partner, Baker & McKenzie LLP and Tim Keigan, Financial Sales Executive, Business Systems. |
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Many financial services firms have been failing to comply with post MiFID Regulations and the Market Abuse Directive (MAD) because of aging legacy systems reports a new white paper commissioned by Business Systems (UK) Ltd and published by B.I.S.S. Research. |
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Winterflood Securities champions emerging trading surveillance tool to support growth & scalability Winterflood Securities is a leading UK market maker, responsible for buying and selling equities and fixed income products to wholesale counterparties such as stockbrokers and institutions comprising of fund, asset and wealth managers. Operating with circa 100 traders, they cover the full range of UK equities from FTSE 100 to Small Cap and AIM, dealing in gilts, corporate bonds, and investments. |