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With our deep expertise in global market abuse regimes and surveillance implementation programs, we are uniquely placed to assist your firm overcome MAR challenges and ensure your readiness for this key piece of EU legislation. We can assist you with a broad range of challenges including:

  • Develop market conduct risk assessments across business areas, asset classes and market abuse offences
  • Review and enhance market conduct systems and controls
  • Design and implement automated or manual surveillance processes to detect market abuse
  • Training of compliance and surveillance personnel
  • Review and draft market abuse policies and procedures
  • Review and enhance wall crossing processes and controls around information flow
  • Develop compliance monitoring programs
  • Advise on voice and e-communications surveillance and how to integrate with market and trade surveillance

Read more about market abuse regulation.

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Nick Bayley
Nick Bayley
Managing Director
Financial Services Compliance and Regulation
Tammy Li is a director at Duff & Phelps.
Tammy Li
Financial Services Compliance and Regulation

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