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Market Abuse Regulation

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Market Abuse Solutions

ACA Compliance Group in London has solutions for investment firms seeking to simplify their FCA market abuse regulation (MAR) processes. 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

 

Market Abuse Thematic Review

Our market abuse thematic review includes 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.

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Market Abuse Controls Review

Our market abuse controls review is designed to provide a focused and cost-effective assessment of your firm’s policies, procedures, monitoring programme, surveillance techniques, and controls. environment.

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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.

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Market Abuse Training Solutions

Our training solutions in London offers open courses devoted to Market Abuse delivered by one of our specialist trainers at our office, or at your premises at a time convenient for you.

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