Originally published on Traders Magazine What were the key theme(s) for your business in 2023? Flexibility, automation, efficiency and expertise. These themes are among the reasons clients choose Eventus over legacy providers. We’ve always believed that the ability to customize our technology – to provide flexibility to meet not only the needs of different client […]
Outlook 2024: Joseph Schifano, Eventus Read More »
Originally published on MarketsMedia Trade surveillance professionals face a “crazy” daily challenge of keeping up with the speed, complexity and breadth of financial markets, given chronic resource constraints, limited intra-firm influence and power, and numerous other challenges. But there are reasons for optimism, such as increasingly tried-and-tested solutions, plus more awareness toward having surveillance seen
The Future of Trade Surveillance Read More »
Eventus recently partnered with 1LoD to interview trade surveillance and compliance leaders and analyze the key trends shaping the trade surveillance landscape.
The Future of Trade Surveillance Report Read More »
Understand How Compliance Leaders Are Protecting Their Firms Against Market Abuse and Regulatory Risk The 2024 Acuiti Trade Surveillance Market Review delves into the rapidly evolving landscape of trade surveillance, addressing the challenges faced by compliance leaders amidst soaring trading volumes and growing market complexity. This comprehensive report explores key trends such as the
2024 Trade Surveillance Market Review Read More »
Originally published on MarketsMedia Compliance officers at financial firms face a multitude of challenges in implementing and maintaining an effective trade surveillance regime, notably including inadequate technology and a shortage of skilled staff. That was a high-level take-away from the 2023 Trade Surveillance Market Review, published by Acuiti and commissioned by Eventus. Will Mitting, Founder and
Trade Surveillance: Technology, Staffing Constraints Are Challenges Read More »
Originally published in TabbForum In this segment of TabbFORUM at STA, Joseph Schifano, Global Head of Regulatory Affairs at Eventus, a trade surveillance provider, highlights a number of regulatory rules and proposals that have created uncertainty for both the industry and its vendors. In this interview, conducted by TABB Group CEO Bruce Morris, Mr. Schifano discusses the complexities
TabbFORUM at STA: Eventus’ Joe Schifano on Real-Time Market Surveillance Read More »
Originally published on MarketsMedia The Commodity Futures Trading Commission’s Division of Enforcement has provided guidance on how it will approach resolutions, including recommending larger penalties than have been imposed in previous cases. On 17 October the CFTC said in a statement that it wanted to ensure greater transparency and answerability throughout the resolution process and
CFTC Warns on Higher Penalties Read More »
Originally published in Fintech Times Firms spanning the financial sector, including banks, broker-dealers, trading entities, and exchanges, grapple with intricate regulatory frameworks and compliance demands while striving to uphold operational transparency and integrity. Within this challenging landscape, Austin-based Eventus provides financial risk applications to equip organisations in risk mitigation, cost reduction and regulatory adherence. The company
In Profile: Travis Schwab, CEO of Eventus Read More »
By Joe Schifano, Global Head of Regulatory Affairs, Eventus Originally published on MarketsMedia Top-notch compliance officers are continually looking around the corner for the next problem — the unexpected market risk, the new trading technology with too few guardrails, the shifting regulatory priorities. Yet a well-known, illegal trading behavior — spoofing — persists, as headlines again
Continued Diligence Needed against Spoofing Read More »
In August 2023 the Financial Conduct Authority, the UK market regulator, published a “Dear Chief Executive” letter addressed to Principal Trading Firms.
Parsing the FCA’s “Dear Chief Executive” Letter to Principal Trading Firms Read More »
