Regulatory Alerts2018-03-23
Added · Updated
Updated Financial Crime Guide: Consultation on Financial Crime Systems and Controls
The updated Financial Crime Guide adds a chapter on insider dealing and market manipulation, outlining observations of good and bad market practice regarding the detection, reporting, and counteraction of related financial crime risks. Minor amendments were made to other parts of the guide to reflect recent regulatory changes. This guidance applies to firms subject to the financial crime rules in SYSC 6.1.1R that also arrange or execute transactions in financial markets.