Market conduct regulatory resources for financial services

Latest additions to the risk library

• Following was mentioned by Julia Hoggett, Director of Market Oversight at the FCA in her speech on dynamic risk assessment
• Manufacutred credit events were mentioned by the FCA in their Market Watch 58

Market abuse risks library

A library of market abuse risks with explanatory notes on relevant surveillance alerts and links to source regulatory text. Our inventory is broad and leverages various industry lessons learnt, for example, the FCA FX specified risks and risks related to inappropriate order handling.

Lessons learnt from the FX trading scandal

Reference materials on the FX trading scandal including analysis of risks and lessons learnt from the FED FX cease and desist orders and the FCA FX fines.

Conduct risk horizon scanning

Our view on emerging conduct risks.