November 15, 2022

By: Martin Appiah, Director of Regulatory Affairs, EMEA, Eventus   In the final report on the MAR Review, published on the 24th September 2020, ESMA acknowledged that there are fundamentally different views on pre-hedging. As a follow-up to the MAR Review, ESMA is therefore undertaking an analysis of that practice in the market and on […]

By: Chris Montagnino, Director of Regulatory Affairs, Eventus   Recently, a broker-dealer was faced with an $850,000 fine from FINRA and a significant undertaking to hire an independent consultant for failures in the supervision of their surveillance and AML processes. The Firm did not have procedures to monitor for potentially manipulative trading, as well as