Upgrade your compliance framework with our Market Abuse Surveillance Checklist—a clear, detailed document designed to help financial firms establish, maintain, and audit surveillance protocols. This checklist covers all essential surveillance obligations under the UK and EU’s market abuse regulations, providing a user-friendly, progressive route to ongoing compliance.
Use this checklist to verify that your firm is effectively monitoring trading activity, detecting potential market manipulation, and responding promptly to suspicious behaviours. Each item is explained with practical pointers, so you know exactly what to look for during reviews. It covers everything: automation of monitoring tools, exception reporting, escalation procedures, staff training, evidence retention, and regular system testing.
The Market Abuse Surveillance Checklist acts as both a valuable reference for regular checks and an assurance tool in external or internal audits. Each checkpoint aligns with FCA and MAR rules, so you can rest assured documentation meets current regulatory expectations.
Empower your compliance and risk team with a resource that simplifies complicated requirements, flags vulnerabilities, and helps your business demonstrate a culture of constant vigilance. Don’t leave surveillance to chance—instil best practice and peace of mind across your compliance operations.
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