Market Abuse Risk Framework

It’s a structured review of your firm’s exposure to market abuse risk, including controls, policies, and surveillance systems.

Any regulated buy-side firm trading in public or private markets should conduct a Market Abuse Risk Framework assessment, including asset managers, hedge funds, private equity, and quant firms.

Market Abuse Risk Framework assessments should be conducted at least annually, or whenever there’s a material change to your business (e.g. new asset class, strategy, or system).

This is a consulting-led engagement that delivers a living, reusable risk framework, not just a review of what you already have.

The assessment typically takes three to five days, depending on the complexity of your firm and the maturity of your existing controls.

ACA offers a full suite of solutions to help firms address any findings from the Market Abuse Risk Assessment. This includes access to our ComplianceAlpha^® regulatory technology platform for trade surveillance and monitoring, outsourced managed services for ongoing compliance support, and practitioner-led advisory to guide remediation and strengthen governance frameworks. Our end-to-end approach ensures firms can move from insight to action with confidence.

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