This checklist is for compliance, risk, financial crime, surveillance and governance leaders at banks, insurance providers, pensions, hedge funds, asset and wealth managers, e-money and payment firms, and any other business regulated by the FCA. If you're accountable for demonstrating that your market abuse controls are working, not just documented, this is built for you.
Download it to assess:
Regulatory risk and governance - whether your market abuse risk framework has kept pace with evolving FCA expectations, and whether governance committees are getting the information they need to act on market conduct risk.
Cross-border compliance - where your obligations converge and diverge across jurisdictions, and whether cross-border information sharing is creating conduct risks you haven't mapped.
Surveillance and monitoring - whether your systems are calibrated for emerging patterns of abuse, tested regularly, and provide real coverage across trading, communications and employee conduct.
Culture and training - whether staff across business functions can actually recognise the indicators of market abuse relevant to their role, and understand what to do next.
Enforcement preparedness - whether your record-keeping, investigation and escalation processes would stand up if a regulator challenged them, informed by recent FCA enforcement action.
AI and emerging technologies - how AI-driven trading, investment and surveillance tools are governed, and whether new technologies could be used to facilitate abuse or strengthen your defences.
Looking ahead - whether you have a roadmap for the market integrity risks likely to affect your business over the next three to five years.
Prefer to talk it through as well?
Download the checklist, and book a discovery call with our team to walk through your firm's specific gaps directly.
