By Sofia Österberg, Director of Client Success, Eventus In their latest “Dear CEO” letter, the FCA highlighted a series of risks that wholesale brokers must be focused on, with some brokers likely requiring immediate attention and improvement in a number of areas. Despite progress in governance and compliance controls at larger firms, the FCA […]
FCA Asking Wholesale Brokers to Prepare for a Series of Risks Read More »
NEW YORK, Jan. 17, 2023 – As financial markets compliance professionals faced some of their toughest challenges to date, Eventus – a leading global provider of multi-asset class trade surveillance and market risk solutions – today said that the firm continued its significant growth trajectory in 2022 with another record year. The company more than
By Martina Rejsjo, Director of Regulatory Affairs, Eventus The Securities and Exchange Commission (SEC) recently filed a civil enforcement lawsuit against an individual for an alleged fraudulent scheme to inflate the value of a private hedge fund by manipulating the price of the fund’s single largest holding, a thinly-traded equity. The individual was the
Marking the Close – Inflating a Fund’s Valuation Read More »
Originally published by Finextra By: Mike Castiglione, Director of Regulatory Affairs, Digital Assets, Eventus The year 2022 proved what many of us already know: Compliance issues can sink your business or help you survive in volatile, uncertain markets. Regulatory technology, or regtech, is how firms solve the riddle of complying with complex rules in
Originally published by Markets Media By: Jeff Bolke, Chief Revenue Officer, Eventus What was the highlight of 2022? The highlight is our continued growth, as clients and prospects face ever-mounting regulatory and compliance challenges and the need to do more with less. Markets have been volatile and uncertain. So firms are relying on us
Outlook 2023: Jeff Bolke, Eventus Read More »
Joining us for our latest Eventus Quick Cuts episode “EU and UK Digital Assets Regulations,” is special guest Mark Aruliah, Senior Policy Adviser from Elliptic. Mark speaks to our Director of Regulatory Affairs, Digital Assets Mike Castiglione about the key differences in European versus UK crypto regulation. Mark brings his expertise as an ex-regulator
Eventus Quick Cuts – EU and UK Digital Asset Regulations Read More »
NEW YORK, Dec. 14, 2022 – Eventus, a leading global provider of multi-asset class trade surveillance and market risk solutions, and Fennel Financials LLC, which just launched an Environmental, Social and Governance (ESG)-focused platform offering retail investors access to tools to better engage with companies, today announced that Fennel has chosen to deploy the Eventus
By: Chris Waitz, Director of Regulatory Affairs, Eventus The CFTC recently released its annual report on enforcement results. The report summarizes the enforcement action taken over the previous year and provides insight into the areas of focus for the agency. This year’s report demonstrates the CFTC’s continued commitment to protecting customers and ensuring market
CFTC Annual Enforcement Results Read More »
By: Joseph Schifano, Global Head of Regulatory Affairs, Eventus FINRA recently alerted members to an emerging threat: “pump-and-dump-like” schemes against thinly-traded initial public offerings (IPOs). The behavior that FINRA, NASDAQ, and NYSE have all observed includes a bad actor manipulating the price of a small-cap IPO to inflate the price (pump) and then profit
Pig-Butchering, Evolving Schemes and Surveillance Read More »
In this episode of Eventus Quick Cuts, Mike and Joe discuss the topic of government enforcement action against market abuse. Joe covers the significance of the Coscia and Oystacher spoofing cases, including how they impacted compliance teams and key lessons learned. About Eventus Eventus is a leading global provider of multi-asset class trade
Eventus Quick Cuts – Enforcement Action Read More »
