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On 14 October 2026, the Financial Conduct Authority (FCA) published Market Watch 86. In this Market Watch, the FCA shares its observations from recent supervisory visits to UK reta...
The Financial Conduct Authority’s expanded non-financial misconduct rules took effect on 1 September, bringing around 37,000 non-bank firms within a broader conduct regime. Firms n...
The FCA recently published Market Watch 86 highlighting a number of deficiencies in the systems, controls and governance over market abuse regulation (MAR). This follows supervisor...
“Tweak the contract” triggered the surveillance control. But the surrounding exchange concerned a kitchen renovation. Alex de Lucena, Director of Product and Governance Strategy at...
The shift towards 24/5 equities trading and the rapid growth of prediction markets are presenting new challenges for trade surveillance. With trading activity increasingly spanning...
On 28 August 2026, the Financial Conduct Authority (FCA) published Primary Market Bulletin 65 which focuses on strengthening the effectiveness, transparency and integrity of UK cap...
The proposed changes also allow direct reporting to stock exchanges and introduce graded enforcement, including possible freezing of promoters’ demat accounts.
On 8 October 2026, the Financial Conduct Authority (FCA) published a blog on how strong compliance functions can support trusted corporate finance markets, this follows on from a s...
On 15 October 2026, the Financial Conduct Authority (FCA) published a new webpage setting out good practices and areas where contracts for difference (CFD) firms could do more to m...
When the Consumer Duty came into force in July 2023, most of the early attention went to price and v...
Underdog has deployed Eventus’ Validus platform across its prediction markets, adding third-party trade surveillance already used by traditional exchanges, futures firms and broker...
In our latest briefing note, we look at investigations and enforcement developments over the last quarter, including discussion of: (i) the failure to prevent fraud offence one yea...
Background On 21 September 2026, the Financial Conduct Authority (FCA) published its findings (MS24/1.5) from its market study into the distribution of pure protection products to...
On 2 September, the Financial Conduct Authority’s David Geale , Executive Director of Consumers, P...
Key Updates The Department of Justice (DOJ) and Commodity Futures Trading Commission (CFTC) have begun bringing parallel criminal and civil actions against individuals accused of...
Author: A finextra community member
Law Implementing the EU AI Regulation Takes Effect On 29 July 2026, the Law Implementing the European Union (EU) Artificial Intelligence (AI) Regulation (Regulation (EU) 2024/1689)...
The Securities and Futures Commission (SFC) will strengthen its targeted tools under the Securities and Futures (Stock Market Listing) Rules (SMLR). The changes cover IPO cases and...
The Competition and Consumer Protection Commission (CCPC), together with consumer authorities across Europe, have launched a co-ordinated action into nine online gaming companies,...
US regulator says exchanges must clear a higher bar before listing event contracts that settle on a named person's words or actions
Highlighting Trading Standards annual IP crime survey results.
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