What you need to know about the market abuse regulation

  • Do you have Direct Market Access?

  • Do you trade LME securities?

  • Does your trade flow include a mix of either client agency or prop trades?

  • Is there a risk of information leakage within your firm given high-touch trade-flow?

  • Do you maintain a Personal Account Dealing register?

  • Do you maintain any restricted, or prohibited securities list?

  • Are you an Execution only broker?

  • Do you trade Fixed Income, illiquid equities or have any internal restrictions against maximum allowable times in which to retain a position in certain securities?

  • Are you a CFD/SpreadBet broker?

  • Do you trade Listed Products, Single Sock Equity Options, or Single Name CDS, Single Stock Equity CFDs, Single Stock SpreadBets?