Financial Conduct Authority (FCA) Market Abuse Regulation Sch 1

The FCA’s Market Conduct Sourcebook (MAR) provides guidance for firms and individuals to avoid engaging in market abuse and to determine whether their behavior would be considered suspicious to the FCA. Link to the FCA’s table of record keeping requirements found in MAR

The MAR sourcebook has recordkeeping requirements throughout applying to algorithmic trading records, benchmark submission records, and direct electronic access providers’ systems and controls.

Link to FCA’s table of recordkeeping requirements found in MAR: https://www.handbook.fca.org.uk/handbook/MAR/Sch/1.pdf.

Link to Handbook: https://www.handbook.fca.org.uk/handbook/MAR/

Link to MAR Handbook: https://www.handbook.fca.org.uk/handbook/MAR.pdf

Smarsh, Inc. assumes no liability for the accuracy or completeness of this information. Please consult with an attorney for specific information on specific rules and regulations and how they apply to your business.

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