April 2022

Originally published in the SIFMA Thought Leader Library By Chris Montagnino, Director of Regulatory Affairs, Eventus A scary thought: you decide to engage a surveillance vendor, implement a set of “off-the-shelf” procedures, calibrate accordingly, and some time later you get an enforcement action for failing to properly monitor trading activity. How could that happen? Perhaps […]

Originally published by The DESK   Trade surveillance, like best execution, can be harder to analyse in fixed income markets due to the complexity of instruments, access to data and over-the-counter (OTC) market structure. David Griffiths, director of regulatory affairs at surveillance specialist Eventus, talks to The DESK about how firms can use enhanced surveillance

On March 28, 2022 the SEC published proposed rules that could require certain firms to register as dealers with the SEC, as well as register as an SRO, if they are deemed to be engaged in buying/selling securities as part of a “regular business.” The SEC’s stated impetus behind the proposed rule is to ensure

On March 16, 2022 CFTC Chairman Rostin Behnam delivered the keynote address at the annual Futures Industry Association Conference in Boca Raton, Florida. Chairman Behnam opened his remarks noting the transformative changes our industry successfully navigated and how financial and technological innovations are yet again at our doorstep. He reminisced on how technology and decimalization

Originally published by A-Team Insight By: Mike Castiglione, Director of Regulatory Affairs, Digital Assets, Eventus   The digital assets community is rallying around Ukraine in its moment of need. The humanitarian crisis there is personal and direct given Ukraine is a global leader in blockchain engineering talent. During a digital assets conference I attended last