Market Surveillance Guidelines

19 November 2020


Market abuse is a global concern and global regulators consider market participants to be the “first line of defence” in the identification and prevention of market abuse. The Market Abuse Regulation (MAR) introduced new prescriptive requirements for market participants relating to monitoring, surveillance systems and the filing of suspicious transaction and order reports (STORs).

In this webinar, speakers discussed the recently published FIA Market Surveillance Guidelines and addressed requirements expected by the UK’s Financial Conduct Authority relating to market abuse systems and controls that market participants are required to have pursuant to Article 16 MAR.

*This webinar is intended for informational purposes only and is not intended to provide investment, tax, business, legal or professional advice. Neither FIA nor its members endorse, approve, recommend, or certify any information, opinion, product, or service referenced in this webinar. FIA makes no representations, warranties, or guarantees as to the webinar’s content. 

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