Market Conduct has always been consistently high on the FCA’s agenda and it covers a broad range of areas from market manipulation, insider dealing, information barriers, personal account dealing, market surveillance to financial crime.
At Waystone Compliance Solutions, our team of experts can help your firm in the following ways:
- implement a Market Abuse Risk Assessment framework (MARA)
- provide a suite of policies and procedures
- advise and review your market abuse trade surveillance systems and communications monitoring
- implement and advise on Chinese Wall arrangements
- provide market abuse training
- undertake a full market abuse review
- Provide a RegTech solution in relation to personal account dealing.
If you would like to discuss your requirements further, please get in touch using the contact form below.