MiFID II: Developing a comprehensive surveillance strategy
Increased regulatory scrutiny on a global scale has brought sharply into focus the importance of having in place an effective surveillance system. In MAR and MiFID II, regulators have continued the global regulatory trend of providing specific guidelines and requirements around the monitoring for market abuse, and flagging the trading behaviours and indicators that may represent market abuse. As a result, market participants must evaluate their current surveillance strategies and ensure they are well-prepared to comply with these guidelines before they are implemented.
- Upcoming MAR/MiFID II Requirements
- Controls Needed to Stay Compliant with MAR and MiFID II
- Developing a strategic surveillance approach
- Simon Appleton Consulting, Markets Director Kinetic Partners
- Michael O'Brien Head of Product Management, SMARTS Nasdaq