Over recent months, the SFC has issued several publications and enforcement actions highlighting areas of concern in trading practices across various asset classes. The topics highlighted by the SFC provide a useful reminder for firms, particularly when assessing their internal controls and monitoring of dealing activities.
In this alert we identify some specific practices which the SFC has commented on, and the risk controls which firms need to be able to evidence in the event of a breach or supervisory scrutiny, as well as, how firms can address any self-identified breaches.
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