A conversation with the FCA: Detecting, disrupting and preventing market abuse

Firms are facing numerous challenges to effectively meet their obligations to detect and prevent market abuse, from setting adequate surveillance frameworks to ensuring they have appropriate governance arrangements in place. With the FCA continuing to focus on market abuse, its messages and publications indicate that it’s not looking to turn the heat down anytime soon.

We were joined by the FCA to discuss its recent supervisory visits and key market watch publications, looking at areas that continue to challenge firms around their market abuse systems and controls.

We’ll  discussed:

• market abuse risk assessments (MARA)
• trading and communications surveillance
• governance arrangements
• offboarding and limitations.

Get in touch if you’d like to discuss any of the areas above.

Speakers

• Eoghan Hartigan, Capital Markets Practice Lead, Bovill Newgate
• Monica Rodriguez, Managing Consultant Bovill Newgate
• Peter Bowyer, Senior Consultant, Bovill Newgate
• Paul Stocks, Technical Specialist, Secondary Market Oversight (SMO)
• Robert Mangham. Technical Specialist, SMO’s Market Abuse Surveillance Supervision team.
• Lola Yinusa, Manager, SMO’s Market Abuse Surveillance Supervision team.
• Richard Littlechild, Senior Manager, SMO.