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The Securities and Exchange Commission recently announced a formal action against a number of individual parties and Archegos Capital Management as part of a multi-billion dollar market manipulation action.  The SEC is seeking to enjoin the parties from further violations of Section 17(a) of the Exchange Act as well as SEC Rule 10b-5.  The SEC […]

The sun did not set on Eventus team members appearing at insightful conferences around the world this Spring. And that was the case in April when our team spoke at four separate conferences across three continents to weigh in on the state of the industry and the changing tides in regulatory and digital asset markets.

Originally published by FinTech Global   The cryptocurrency market is booming. With new technologies and new products launching on the market, the industry is seemingly going from strength to strength. With new technologies, however, come new challenges. How is the industry changing money laundering? The rise of cryptocurrency is coming at a time of swelling

Originally published in the SIFMA Thought Leader Library By Chris Montagnino, Director of Regulatory Affairs, Eventus A scary thought: you decide to engage a surveillance vendor, implement a set of “off-the-shelf” procedures, calibrate accordingly, and some time later you get an enforcement action for failing to properly monitor trading activity. How could that happen? Perhaps

Originally published by The DESK   Trade surveillance, like best execution, can be harder to analyse in fixed income markets due to the complexity of instruments, access to data and over-the-counter (OTC) market structure. David Griffiths, director of regulatory affairs at surveillance specialist Eventus, talks to The DESK about how firms can use enhanced surveillance

On March 28, 2022 the SEC published proposed rules that could require certain firms to register as dealers with the SEC, as well as register as an SRO, if they are deemed to be engaged in buying/selling securities as part of a “regular business.” The SEC’s stated impetus behind the proposed rule is to ensure

On March 16, 2022 CFTC Chairman Rostin Behnam delivered the keynote address at the annual Futures Industry Association Conference in Boca Raton, Florida. Chairman Behnam opened his remarks noting the transformative changes our industry successfully navigated and how financial and technological innovations are yet again at our doorstep. He reminisced on how technology and decimalization

Originally published by A-Team Insight By: Mike Castiglione, Director of Regulatory Affairs, Digital Assets, Eventus   The digital assets community is rallying around Ukraine in its moment of need. The humanitarian crisis there is personal and direct given Ukraine is a global leader in blockchain engineering talent. During a digital assets conference I attended last

As regulatory clarity could be years away, corporate leaders in digital asset markets are building their own risk management strategies for trade surveillance, transaction monitoring and AML compliance. This white paper summarizes why banks, platforms, brokers and trading firms will require access to mature surveillance and risk-monitoring solutions such as Eventus’ Validus solution in order