October 2022

Originally published by Financial Times   Change in stance contrasts with Chinese mainland and takes on Singapore as regional financial hub Hong Kong is taking steps towards legalising retail trading of crypto assets, in a reversal that contrasts Beijing’s crackdown on such transactions in mainland China. The Chinese territory’s regulators are also exploring the listing […]

  In this episode of Eventus Quick Cuts, our Director of Regulatory Affairs, Digital Assets, Mike Castiglione focuses on market abuse risk assessments with our Director of Regulatory Affairs, EMEA, Martin Appiah. As the FCA puts a lot of emphasis on conducting market abuse risk assessments – Martin discusses what it means for compliance teams

By: Chris Montagnino, Director of Regulatory Affairs, Eventus The year 2022 has been dominated by a high number of traditional insider trading actions brought by the Securities and Exchange Commission. The number of such cases has well exceeded the number of similar cases filed in 2020 and 2021. Cases range from corporate insiders trading while

By: Chris Waitz, Director of Regulatory Affairs, Eventus In recent enforcement action, The CFTC charged one trader and fined two other traders and one proprietary trading firm for spoofing violations. The two traders and the firm received fines totaling $850,000 and the traders also received trading suspensions of four months and six months. While these

Originally published by IFLR   A persistent lack of clarity from US authorities over digital asset regulation has forced some market participants to draw their own conclusions The absence of clear guidelines on cryptoasset regulation in the US has left market participants to their own devices when it comes to knowing which regulator they should

Originally Published by DerivSource By: Christopher Waitz, Director of Regulatory Affairs, Eventus Financial institutions increasingly need robust market surveillance capabilities to keep up with regulatory enforcement requirements and changing industry best practices. But it is not as simple as adapting legacy solutions for many of these trading firms. Christopher Waitz, director of regulatory affairs at Eventus,

  In this episode of Eventus Quick Cuts, our Director of Regulatory Affairs, Digital Assets Mike Castiglione and Director of Regulatory Affairs Martina Rejsjo dive into the different types of trade surveillance alerts that firms and regulatory bodies receive and how their compliance teams take action upon receiving them. Martina also covers the reporting process

Originally published by A-Team Insight By: Ollie Cadman, Chief Product Officer, Eventus “Buy versus Build” was a dilemma that financial institutions traditionally faced when working to create modern surveillance systems or other key elements in the risk technology stack. What groups were trying to figure out was whether purchasing products and services was more cost-effective