2023

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,

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

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. Modern Trade Surveillance: Smarter, More Flexible Regulatory Technology A perspective from the highly fragmented, and rapidly evolving, European markets.

By Martina Rejsjö, Director of Regulatory Affairs, Eventus   SEC Charges an Asset Management Firm for Abusive Bond Trading The Securities Exchange Commission (SEC) has brought charges against an asset management firm and its founder relating to their advice and execution of trades in clients’ fixed income portfolios. The firm agreed to pay more than

By Mike Castiglione, Director of Regulatory Affairs, Digital Assets, Eventus   Cracking Down on Financial Misconduct and Market Manipulation The U.S. Securities and Exchange Commission (SEC) and Commodities Future Trading Commission (CFTC) are each asking Congress for about a 13 percent increase in funding for fiscal year 2024 in part to expand their enforcement and

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. Mike Castiglione, former CIA analyst and now Director of Regulatory Affairs, Digital Assets at Eventus, brings public sector expertise and perspectives

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,