Identifying and reporting instances of potential market abuse is required under the Market Abuse Regulation ('MAR'). A firm must have effective arrangements, systems and procedures in place to detect ...
Market abuse can take many forms and often involves subtle patterns across orders, trades, and market data. Regulators expect institutions to operate surveillance programs that can identify and ...
Market abuse increasingly centers on the misuse of price-forming information rather than just traditional trading abuse. Surveillance must track cross-product manipulation, as deceptive activity in ...
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