May 2023

The Commodity Futures Trading Commission (CFTC) in May 2023 levied a $45 million fine against a tier-1 bank for engaging in spoofing in the US dollar swaps market, other deceptive and manipulative trading practices related to the bond issuer swaps market, and communication recordkeeping failures for mobile devices. This enforcement action is notable for applying […]

Originally published in FinTech Global   In a recent post by Eventus, the company outlined some of the key things compliance officers need to know around the new Markets in Cryptoassets (MiCA) legislation. Recently, the European parliament sanctioned comprehensive legislation, MiCA to regulate the crypto assets market. This wide-ranging legislation covers aspects such as transparency, disclosure,

Originally published in The Fintech Times   The regtech space is in for a major shake-up, with the FCA‘s new Consumer Duty regulations coming into effect in two months. This presents an opportunity for financial institutions to adopt a new approach to compliance and regulation. Innovation being catapulted forward by the pandemic and the recent evolution

Originally published in Markets Media Compliance in Focus is a content series on regulatory topics for financial markets and the challenges compliance officers face in addressing surveillance and monitoring. Compliance in Focus is produced in collaboration with Eventus. The European parliament recently approved comprehensive legislation to regulate the crypto assets market. The Markets in Cryptoassets (MiCA) regulation covers transparency, disclosure, and financial stability, and

In our newest report, we analyze the priorities of several global regulators and highlight ways to keep your firm ahead of the curve and ready for future regulatory changes. Key insights include: An overview of top priorities for SEC, FINRA, CFTC, UK’s Financial Conduct Authority (FCA), European Securities and Markets Authority (ESMA), Canada’s New SRO,

The U.S. Securities and Exchange Commission’s equity market structure proposals changes were assessed April 26 at the Options Industry Conference in Nashville.