“As we grow our virtual asset trading business, what type of surveillance do we require?” It is a question we consistently hear from prospects in the APAC region. We know that regulators generally want to shine a light on virtual asset service providers (VASPs) by requiring registration and compliance with relevant local regulations. With over […]
APAC: The Surveillance Requirement Dilemma Read More »
In a February 6, 2020 speech by Mark Steward, Executive Director of Enforcement and Market Oversight at the Financial Conduct Authority (FCA) described the successful results of a strategic and integrated approach to the FCA’s market integrity efforts. These efforts included enforcement, primary and secondary oversight and surveillance and wholesale supervision. Further, he issues a
UK: The FCA’s Take on Market Abuse Surveillance Read More »
On March 29, 2021, The Canadian Securities Administrators (CSA) and the Investment Industry Regulatory Organization of Canada (IIROC) published a Notice to provide guidance on how securities legislation applies to Crypto-Asset Trading Platforms (CTPs) that facilitate trading so Security Tokens and Crypto Contracts. The Notice alerts CTPs that they are already subject to existing requirements
