Market abuse solutions

Market Abuse Solutions

Preventing, detecting, and punishing market abuse is a high priority for regulators. To avoid civil and criminal sanctions, firms must have safeguards in place to identify and reduce the risk of market abuse and other financial crimes.

Firms are also required to take steps that sufficiently counter the risk of financial crime, as well as take reasonable care to organise and control their affairs responsibly. In addition, firms must implement appropriate surveillance and monitoring techniques to be able to detect behaviour that may constitute abusive behaviour.

HOW WE HELP

               

 

Our market abuse solutions include:

  • Market Abuse Thematic Review: a deep-dive review, benchmarking, and testing of your firm’s market abuse arrangements to help mitigate the risk of insider dealing, improper disclosure, and market manipulation.
  • Market Abuse Controls Review: focused and cost-effective assessment of your firm’s policies, procedures, monitoring programme, surveillance techniques, and controls environment.
  • Decryptex® trade surveillance technology: ACA's Decryptex provides automated in-depth trade surveillance to help identify items of interest and non-compliant trading and investment activity. The system offers a case management tool that can track and store emails, reports, and research related to each investigation.
  • ACA Training Solutions offers open courses devoted to Market Abuse.

For more information please contact us.

ACA MARKET ABUSE RESOURCES

 

ACA has issued a series of downloadable assets regarding market abuse and what you need to know. Below are available resources you can read for additional information or guidance.

Downloads:

Content:

 

REQUEST MORE INFORMATION

 

To request more information, complete our contact form or call our enquiries team at + 44 (0) 20 7042 0500.