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.
