March 13, 2023

By: Christopher Waitz, Director of Regulatory Affairs, Eventus   The prohibition against disruptive trading practices and market manipulation is a foundational element for most regulatory and self-regulatory regimes globally. Certain abusive behaviors, such as Spoofing or Marking the Close (also known as “Banging the Close”), receive the most attention from regulators and compliance teams. However, […]

By: Mike Castiglione, Director of Regulatory Affairs, Digital Assets, Eventus   The National Futures Association (NFA) in March 2023 proposed a new rule to expand its anti-fraud, trade monitoring, and supervision requirements on all members that engage in digital asset commodities activities, in both derivative and spot markets. This rule goes into effect on May

Originally published by Markets Media   Compliance in Focus is a content series on regulatory topics for financial markets and challenges compliance officers face in addressing surveillance and monitoring. Compliance in Focus is produced in collaboration with Eventus. One year ago, the newly sworn-in chairman of the Commodity Futures Trading Commission (CFTC), Rostin Behnam, shared his vision and