Publications

Showing 31 to 40 of 61 search results for "market watch".

31. Market Watch 68

    Newsletters

    Published: 16/11/2021

    Last modified: 19/11/2021

    In this Market Watch we discuss web-based trading platforms, which are widely used for Rates and Fixed Income products and share our concerns about gaps in users’ surveillance of web-based platform activity.

32. Market Watch 67

    Newsletters

    Published: 28/05/2021

    Last modified: 28/05/2021

    Newsletter on market conduct and transaction reporting issues.

33. Market Watch 66

    Newsletters

    Published: 11/01/2021

    Last modified: 22/01/2021

    In this Market Watch, we set out our expectations for firms on recording telephone conversations and electronic communications when alternative working arrangements are in place, including increased homeworking.

34. Market Watch 65: Newsletter on market conduct and transaction reporting issues [pdf]

    Newsletters

    Published: 07/09/2020

    Last modified: 07/09/2020

    This Market Watch we discuss how inappropriate handling of information requirements issued by FCA.

35. Market Watch issue 64: market conduct and Brexit and MiFID II transaction reporting issues [pdf]

    Newsletters

    Published: 27/08/2020

    Last modified: 27/08/2020

    This edition of Market Watch provides important information to help MiFID II firms prepare for the end of the transition period.

36. Market Watch issue 63: market conduct and discipline in context of coronavirus [pdf]

    Newsletters

    Published: 27/05/2020

    This edition of Market Watch provides important information to market conduct and discipline in context of coronavirus.

37. Primary Market Bulletin Issue No. 28 coronavirus (Covid-19) update

    Newsletters

    Published: 27/05/2020

    Last modified: 07/07/2026

    This edition of the FCA’s Primary Market Bulletin covers financial reporting, going concern assessments and shareholder engagement.

38. Market Watch 62 [pdf]

    Newsletters

    Published: 30/10/2019

    In this Market Watch, we share our concerns about personal account dealing (PAD) - where employees of an authorised firm trade for themselves rather than for clients.

39. Market Watch issue 61 [pdf]

    Newsletters

    Published: 07/10/2019

    This edition of Market Watch provides important information to help firms prepare for a possible no deal Brexit on 31 October.

40. Market Watch 60 [pdf]

    Newsletters

    Published: 01/08/2019

    In this newsletter, the FCA shares its concerns and findings about control of access to inside information. This follows the conviction of Fabiana Abdel-Malek, a former Compliance officer in the London branch of a major investment bank. It also