ESMA updates Q&As on MiFID/MiFIR topics and the Market Abuse Regulation 04 October 2022 Market Abuse and Enforcement Position limits MiFID ... Derivatives
FCA publishes Dear CEO letter on Alternatives Supervisory Strategy 16 August 2022 Risk management Marketing ESG ... Digital assetsBusiness operationsResponsible InvestmentDiversityCorporate GovernanceMarket Abuse and EnforcementEMEA
AIMA Summary – ESMA Call for Evidence on Pre-Hedging 09 August 2022 Market Abuse and Enforcement MiFID Derivatives
ESMA publishes call for evidence on pre-hedging 09 August 2022 Market Abuse and Enforcement MiFID Derivatives
Recent SEC Case Highlights Concern for Conflicts in Obtaining Ratings 12 July 2022 RIAs Market Abuse and Enforcement Americas
AIMA Webinar Replay: Quarterly US enforcement roundup - Q2 23 June 2022 Market Abuse and Enforcement Americas
SEC’s Recent MNPI Risk Alert – Key Takeaways 03 May 2022 Compliance Market Abuse and Enforcement Accountability and Conduct ... Americas
AIMA/MFA Response to ESMA Consultation Paper: MAR Review Report 29 November 2019 Market Abuse and Enforcement EMEA