In 2025, the FCA issued millions in fines for failures in transaction reporting, surveillance gaps, and conduct oversight, with senior managers increasingly held personally responsible under SM&CR. These cases are not isolated. They signal a clear warning: firms must act now to avoid becoming the next headline.
Watch our on-demand webcast to explore the intensifying regulatory scrutiny around market abuse, surveillance, and senior manager accountability.
Topics Discussed
- Key enforcement trends and what they mean for buy-side firms.
- How to assess and enhance your market abuse risk controls.
- The role of SM&CR in surveillance and governance.
- Common pitfalls in transaction reporting and how to avoid them.
You’ll also get a first look at ACA’s new Market Abuse Risk Framework solution.
Speakers
- Marc Salter, Lead Account Executive, Managing Director, ACA Group
- Matthew Oswald, Managing Director, ACA Group