Nov 10, 2023 Trade Surveillance Pre-Hedging Disclosure – A Justifiable Defence? This is a follow-up to the previous article – ‘Primary Market Manipulation - An Emerging...
Apr 14, 2023 Trade Surveillance 2023 Report on FINRA's Examination and Risk Monitoring Program The 2023 Report on FINRA’s Examination and Risk Monitoring Program provides a great level of...
Feb 1, 2023 Trade Surveillance TradingHub's Review of ASIC Report 741 ASIC’s Report 741 offers a broad survey about the conduct risks in Australian wholesale fixed...
