Compliance Clarified – a podcast by Thomson Reuters Regulatory Intelligence Season 3, Episode 6: The persistence of market abuse
Nov 9, 2021
Rachel Wolcott, a market abuse expert and compliance officer, joins Susannah Hammond to discuss the persistence of market abuse and the challenges faced by compliance officers. They explore topics such as the role of social media in market abuse, challenges with side hustles on neo broker platforms, gray areas in a changing regulatory landscape, and the importance of handling dawn raids properly to avoid disastrous situations.
Chapters
Transcript
Episode notes
1 2 3 4 5 6
Introduction
00:00 • 2min
Current Expectations for Compliance Officers in Preventing Market Abuse
02:02 • 19min
The Persistence of Market Abuse and the Role of Social Media
20:40 • 4min
Challenges of Side Hustles on Neo Broker Platforms and Unauthorized Investment Advice
24:46 • 3min
Challenges and Gray Areas for Compliance Officers in a Changing Regulatory Landscape
28:14 • 2min
Importance of Handling Dawn Raids Properly
29:59 • 11min