View our library of interviews, roundtable discussions, and other video content centred around the latest regulatory developments.
The second in our webinar series with ComplyLens explores practical guidance on how to design and implement proportionate, effective and data-driven trade surveillance controls.
The first in a series of webinars jointly hosted with ComplyLens, exploring how to design and execute a Market Abuse Risk Assessment (MARA) that is a strategic governance tool.
One of the biggest recurring challenges for compliance teams is accurately identifying market abuse. Learn how properly calibrating your trade surveillance system is essential.
Monitoring complex instruments such as OTC derivatives can be a real challenge for firms when trying to detect market abuse.
Our 2025 report found that fines related to trade surveillance systems and controls failures saw an 862.5% increase year-on-year from 2023.
Failures related to eComms recordkeeping and surveillance were the most commonly enforced market abuse typology, accounting for 50% of $6.3 billion in fines.
Smaller mid-market firms are now increasingly finding themselves on the receiving end of enforcement action for infringements related to market abuse.
One of the most effective ways of ensuring that you minimise false positives is implementing a system with conditional parameters.
Regulatory compliance is no longer a tick-box exercise. Financial firms need to demonstrate they have configured their compliance systems to suit their business.
Learn more about TZBE Best Execution and TCA.
Learn more about TZTS Trade Surveillance.
