ACA's Burt Esrig illustrates how regulators' advances in tech are supporting their ever-broadening scope of responsibility, resulting in increased enforcement actions and fines. In this landscape, RegTech is no longer a "nice to have" for investment firms, but an imperative.
Market Abuse Regime
Insights and guidance from ACA's team of experienced compliance and technology professionals.
Julia Hoggett, FCA's Director of Market Oversight, last week gave a speech on the implementation of the Market Abuse Regulation in the UK.
Recent activity points to the FCA rapidly increasing its focus on market abuse risk, trade surveillance and controls.
Julia Hoggett, the Financial Conduct Authority's ("FCA") Director of Market Oversight, delivered a speech on 14 November 2017 at the Recent Developm