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FCA insider dealing case is a compliance wake-up call
The UK’s Financial Conduct Authority has brought fresh attention to a long-running market-abuse risk by charging two individuals with insider dealing after detecting suspicious...
Seven AI notetaker risks CCOs can’t ignore
Financial firms are rolling out AI note-taker tools at speed, drawn by the promise of lighter admin and faster documentation. But convenience comes with...
Managing insider information: The crucial role of MAR in the digital...
The European Market Abuse Regulations (MAR) have been at the forefront of the financial regulatory landscape since July 2016. Despite its six-year presence, compliance with MAR regulations remains a consistent priority for regulators across Europe, including the UK. Regulatory enforcement continues to unveil that firms still grapple with adherence to rules governing the management of material nonpublic information (MNPI).
