Retail Investors, Social Media and Market Manoeuvring: Compliance & Best Practice Considerations

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Katharine Leaman, LeamanCrellin http:/, and ACI UK Executive Committee member talks to Oliver Madden, ACI UK President about financial markets compliance and best practice in the light of recent Reddit/Gamestop activity ‘in the news’.  Their conversation embraces what retail investors should be thinking about, role of platforms like Reddit (and where are boundaries drawn between professional/not professional investor status), what regulators might look at per: use of media platforms for ‘information sharing’ versus targeted ‘pump and dump’ campaigns , potential professional broker ‘risk’ re: leveraged trading scenarios/restricting trading and concerns around potential conflict of interest from ‘payment for order flow’ arrangements.