Consulting
Transaction and Order Surveillance: Do You Understand Your Obligations?
In December 2018, the Financial Conduct Authority (FCA) conducted a market review, which indicated that despite many asset managers having a sound understanding of their responsibilities under the Market Abuse Regulation (MAR), a number continue to struggle with obligations relating to the surveillance of all orders and transactions. The FCA’s review showed that when MAR
February 14, 2019
