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Surveillance Archives | GreySpark Partners

Detecting Market Abuse in Your Communications

Despite astronomical sums being spent by banks on surveillance – almost US$ 740m by 15 surveyed Tier I and Tier II banks alone in the first two years after MAR came into effect in the UK1 – electronic surveillance is still in its infancy, and gaps in efficacy and performance mean that there is appetite for further spending, development and automation.

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Detecting Market Abuse in Your Communications

Despite astronomical sums being spent by banks on surveillance – almost US$ 740m by 15 surveyed Tier I and Tier II banks alone in the first two years after MAR came into effect in the UK1 – electronic surveillance is still in its infancy, and gaps in efficacy and performance mean that there is appetite for further spending, development and automation.

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Auditing the Trade Surveillance Ecosystem

Trade surveillance encapsulates the processes and procedures that help financial institutions detect and prevent trading rule violations. While various regulations push for increased scrutiny and security, MAR and MiFID II notably have far-reaching implications for trade behavior, post-trade surveillance and pre-trade risk controls checks.

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Is Fully Holistic Surveillance the Holy Grail?

Under MAR and MiFID II, firms are required to detect and report unlawful behaviour in a timely manner by putting preventative measures and solutions in place. To achieve compliance, first and second line surveillance functions need to be created that provide more holistic, forward-facing surveillance solutions.

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GreySpark study: Investment Banks Must Implement Conduct Risk Strategies

Investment banks globally must begin implementing measures to offset the risk that they could be fined by regional or global regulators for employee misconduct, according to a new research report from GreySpark Partners, a capital markets consulting firm. These risks also extend to regulatory fines and legal costs resulting from organisational misconduct ranging from illegal trading activities to corruption and other forms of illegal or scandalous behaviour.

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