Securities Markets Conduct Risk. Industry Communication, January 2020

Central Bank of Ireland has issued a second industry communication in relation to securities market conduct risk, which provides an overview of the key findings from the Central Bank’s 2019 market conduct supervisory work. It also sets out areas where regulated entities should improve their organisational arrangements for managing market conduct risk and includes further expectations for regulated entities and issuers (building on the March 2019 industry communication). Finally, the letter also outlines areas of focus for Central Bank market conduct supervisors in 2020.