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FCA highlights shortcomings in market abuse surveillance

The FCA issued Market Watch 69, a newsletter on market conduct and transaction reporting issues, on 17 May 2022. 

The FCA makes observations on small and medium-sized firms’ arrangements for market abuse surveillance, obligations involving policies and procedures to counter the risk a firm is used to further financial crime, and potential market abuse by firms’ employees and clients.

Download this At a glance to see a detailed summary of the update and what it means for firms.

 

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