Social Media Ideas for Market Surveillance & Conduct

FCA Misconduct Rules Put Surveillance Evidence and HR–Compliance Workflows to the Test

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...

Kalshi Extends Trade Surveillance to Brokerage Arm Kinetic Markets

Kalshi has extended its trade surveillance coverage beyond its exchange business, with affiliated futures commission merchant Kinetic Markets selecting Solidus Labs as its monitori...

FCA good and poor practice examples in relation to monitoring consumer outcomes under the Consumer Duty

On 27 July 2026, the Financial Conduct Authority (FCA) published the findings of its review into firms’ approaches to monitoring consumer outcomes under the Consumer Duty (the Duty...

FCA Primary Market Bulletin 65

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...

FCA advances package of equity market transparency reforms

On 31 July 2026, the Financial Conduct Authority (FCA) published a package of reforms designed to improve transparency, strengthen access to market-wide information and support con...

LLMs Transform Voice Compliance as Regulators Demand More

Voice compliance is evolving fast as AI transcription, VoIP call recording, and UC monitoring reshape regulatory expectations. Regulated firms can no longer store calls and forget...

Rothera Joins Peers in Expanding Trade Surveillance for Prediction Markets

Rothera has deployed Eventus’ Validus platform to monitor trading on its regulated event-contract exchange, adding surveillance technology already used by brokers, futures firms an...

New briefing note: Assertive regulatory supervision – How to get the best outcome and avoid the pitfalls

The Financial Conduct Authority (FCA) has confirmed that, as part of its evolving strategy, it is currently driving earlier intervention with supervisory tools, market oversight an...

CMA issues guidance on unfair contract terms

On 22 July 2026, the Competition and Markets Authority (CMA) issued new guidance on the unfair contract terms provisions in the Consumer Rights Act 2015 (the Act). The CMA has also...

CCI avoiding suo motu cases unless nobody willing to come forward

The watchdog has the mandate to curb unfair business practices, as well as foster fair competition, across sectors

Regulatory Watch: Advertising & Disclosure Risk – July 2026

Mid-Month Report – A monthly briefing on advertising enforcement actions with material implications for disclosure practices, litigation exposure, and reputational risk in collaber...

Enhanced FDA-SEC Collaboration: How Life Sciences Companies Think About Disclosure, Insider Trading, and Prediction Mark...

AI for Compliance Monitoring Is Now Table Stakes

Bloomberg Vault Introduces New AI-Powered Communications Surveillance Models

Insider Dealing & Personal Trading models are now part of a suite of advanced tools designed to help firms identify potential conduct and market abuse risks by investment profe...

What Every Multinational Should Know About … Conducting a Sell-Side Contracts Review for Compliance Risk

For multinational companies, sell-side contracts — customer, distributor, reseller, licensing, and service agreements — often define the company’s front-line regulatory exposure. T...

AI and Financial Services Regulation: UK and International Developments at a Glance

The regulatory response to AI in financial services has been accelerating in recent months, with regulators and international standard-setters grappling with what AI—from tradition...

Before the FCA Writes Another Rule, Has Consumer Duty Actually Worked? (Francesco Fulcoli)

On 2 September, the Financial Conduct Authority’s David Geale , Executive Director of Consumers, P...

SEBI’s crackdown on CAS manipulation: All you need to know

Here’s a look at what CAS is, what transpired during the August 13 session, and how SEBI responded to it

Investment Management Client Alert August 2026

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)...

24/7 Trading and Clearing: Recent CFTC Developments and Key Issues for Market Participants

New Notice in a Nutshell briefing: FCA fines individuals over £100,000 for insider dealing

The Financial Conduct Authority (FCA) recently confirmed that over 75% of its enforcement work focuses on fighting financial crime. In line with this, earlier this year the FCA iss...

Podcast | Global Regulation Tomorrow Plus: The Consumer Duty three years on

This podcast marks three years since the Consumer Duty (the Duty) came into force for on-sale products and services. In this podcast, we discuss what we have been seeing through ou...

Panel seeks to make SEBI's enforcement framework more legally sustainable

The proposed Securities Markets Code strengthens due process and investor safeguards without diluting regulatory powers

Guidance: Trading Standards IP crime survey 2025 to 2026

Highlighting Trading Standards annual IP crime survey results.