← Regulators & Supervisors
Market Surveillance & Enforcement
Detecting misconduct — insider dealing, manipulation, mis-selling, false disclosure — and taking action.
1.1Surveillance alertscatalyst-calendar1 wanted
Review trading alerts around price-sensitive events; rule out innocent explanations.
- Delivers
- Alert review
- Led by
- Investigator · with Specialists
- Wanted
trade-surveillance-review Analyse trading around an announcement for unusual timing
1.2Tips and referrals1 wanted
Triage complaints, whistleblower reports and referrals.
- Delivers
- Triage memo
- Led by
- Investigator
- Wanted
complaint-triage Summarise a complaint