Fund Monitoring & Trade Surveillance
The Market Abuse Regulation (MAR) came into force on 3rd July 2016, building on the previous Market Abuse Directive that was in place in the UK. Market abuse encompasses unlawful behaviour such as Market Manipulation, Insider Dealing, Unlawful Disclosure, Attempts to commit the above – even if unsuccessful. We have put in place risk-based processes and robust controls to help prevent and monitor for market abuse. These controls monitor the activity of each fund operating under the Thornbridge umbrella. We take regular samples of the fund’s trade data and look for evidence of market abuse and style drift and make use of a range of tools to assess compliance.
Fund Regulatory Reporting
The funds under the Thornbridge umbrella operate in different markets, trade a range of financial instruments and work with a wide variety of counterparties. Our service involves the Thornbridge investment funds team working alongside both the funds and the fund counterparties to assess the appropriate reporting requirements and ensure that those requirements are met. The service includes reporting on MIFID transactions, MIFID post-trade and EMIR transactions.
A suite of services that makes access to regulated activities simple and cost effective, leaving you free to concentrate on your mainstream business.