Marketing Conduct and Surveillance

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The Central Bank has an increased focus on the prevention of market abuse. Firms are expected to have strong internal systems and controls in place that allow them to detect abusive behavior in the market. 

The prevention, detection, investigation and prosecution of market abuse remains a regulatory priority for the Central Bank. Senior management will continue to be held responsible for controls surrounding the prevention of firms’ systems being used to commit market abuse.

Duff & Phelps has an experienced team including staff that have been Head of Market Surveillance at both exchanges and MTFs. Our staff have assisted many firms with their internal controls to deter and detect abusive behavior. We have also successfully implemented surveillance systems, acting as the interface between the system provider and the business. Firms need to have good practices and training programs in place in order to protect both the firm and staff in case of an investigation.

We have systems in place to address and mitigate risks identified by the regulator and will assist firms in ensuring a route to a compliant culture where policies and systems are established that are well in line with sound industry practice.

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