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.
Download the checklist, and book a discovery call with our team to walk through your firm's specific gaps directly.