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Enforcement Watch Roundup

Issue 31: June 2020

Enforcement Watch Roundup
Adam Epstein Post

Editor's note

I hope our readers are all managing to adapt to the new normal that we are living through. This edition of Enforcement Watch has a particular focus on what we may see coming down the line, and I hope you will be able to pick out some items of particular interest to you.

Enforcement Case Highlights

On the horizon

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Mark Steward Gives Speech on Strategic Approach to Market Integrity

On 6 February 2020, Mark Steward, the FCA's Executive Director of Enforcement and Market Oversight, delivered a speech on the FCA's approach to market integrity in the UK's securities market to the Practising Law Institute's Annual Institute on Securities Regulation in Europe, London.


Coronavirus, Senior Managers and Enforcement

As readers will know, the Senior Managers and Certification Regime (SMCR) has been in force for firms regulated by both the PRA and the FCA ("dual-regulated firms") since March 2016.


Algorithmic trading and market abuse

In the FCA's report, Algorithmic Trading Compliance in Wholesale Markets (the 'Report'), published in February 2018, it recognised that firms operating in wholesale markets were increasingly using algorithms for a number of purposes across their trading activity.

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