A market abuse risk assessment is an assessment that businesses conduct to outline the risks they anticipate. The nature of the business, type of risks and risk appetite inform the risk assessment.
The risk assessment, in turn, informs what you do in surveillance. This type of assessment is unique to a business since it aligns with its specific risks. However, there are general guidelines to build the assessment.
Our checklist outlines the steps every business should take to ensure they have a comprehensive market abuse risk assessment.
