Tue, Feb 19, 2019

Nick Bayley Featured in Investment Week: FCA Reveals Key Market Abuse Concerns

Nick Bayley, Managing Director in the Compliance and Regulatory Consulting practice at Duff & Phelps, was featured in Investment Week discussing a recent speech made by a representative of the Financial Conduct Authority (FCA) who highlighted that market abuse was a key concern for the regulator.

“[The speech] flags the potential for leakage of inside information outside firms rather than within firms" but "stops short of suggesting that firms should enhance the level of personal surveillance they conduct on their staff….[and] introduces the concept of ‘front-to-back' management of inside information, suggesting that firms need a much more proactive and ongoing approach to assess who has access to inside information and why," said Nick.

Read the full article here.