What You Will Learn

    In 2025, the FCA issued millions in fines for failures in transaction reporting, surveillance gaps, and conduct oversight, with senior managers increasingly held personally responsible under SM&CR. These cases are not isolated. They signal a clear warning: firms must act now to avoid becoming the next headline.

    Watch our on-demand webcast to explore the intensifying regulatory scrutiny around market abuse, surveillance, and senior manager accountability.

    We will discuss: 

    • Key enforcement trends and what they mean for buy-side firms.
    • How to assess and enhance your market abuse risk controls.
    • The role of SM&CR in surveillance and governance.
    • Common pitfalls in transaction reporting and how to avoid them.

    You'll also get a first look at ACA’s new Market Abuse Risk Framework solution.

    Who should attend:

    Compliance officers, MLROs, Heads of Surveillance, Risk Managers, and Senior Managers subject to SM&CR.

    All webcasts are recorded and will be sent to registrants following the live broadcast.

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    Our Speakers
    • Matthew Oswald, Managing Director, ACA Group
    • Marc Salter, Lead Account Executive, Managing Director, ACA Group 
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    ACA leverages unrivaled expertise to develop innovative features, supported by hundreds of former regulators, compliance officers. Our experts provide comprehensive compliance and regulatory technology services globally, and our team delivers scalable, cost-effective solutions tailored to your needs, evolving with changing compliance requirements.

     

    Gain peace of mind as you launch, grow, and protect your business with ACA.

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    Our unique blend:

    Our regulatory compliance, managed services and technology gives you access to full service GRC solutions that can help you launch, grow, and protect your firm.