Eye on the Markets October 2015

Welcome to Duff & Phelps’ second edition of Eye on the Markets, our global newsletter focusing on regulation for trading markets.

The regulatory landscape continues to evolve and regulators across the globe, particularly the SEC, SFC and FCA, have confirmed that they will focus their attention on market misconduct, thereby not easing the pressure on firms and individuals.

In this edition, we would like to share with you some lessons learned from our recent discussions with the industry. A number of recent high profile cases across the globe against firms and individuals relating to hacking and insider dealing, high frequency trading and spoofing for example show us that the regulators are not asleep at the wheel, and will act collaboratively across markets to stop wrongdoers. The political climate blows in their favor and clean and orderly markets are what we all strive for. As a certainty, cultural change plays a strong part of our new world of regulation.

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