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Market abuse: Brokers should be ready for searching questions16 October 2019 / UK & EuropeIncreasing numbers of brokers are being probed by the FCA about their market abuse controls. Market abuse is one of the last issues addressed by the FCA’s Dear CEO letter to the wholesale broking industry. But this area is certainly not low down on the priority list for supervisors. The FCA’s attitude is clear, not just from the punchy tone of the Dear CEO letter, but also by the FCA’s supervisory work. A number of brokers have been asked searching questions about their market abuse risk, internal controls and surveillance arrangements in the last 12 months.
In our November briefing, we will focus on the FCA’s expectations when it comes to combatting financial crime in capital markets. We will also take a deep dive into some of the FCA’s typologies, focusing on how to identify these risks in your business, and develop effective, proportionate controls in each case.
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