Ten Top Tips for Regulatory Compliance Compliance with laws and regulations is extremely important for all firms. Not knowing the regulatory compliance laws for your firm can result in some serious consequences. That is why all stock market trading firms should know and understand the trade compliance regulations. When you scratch the surface of […]
Don’t Get Hit With An FTS (Failure to Supervise) Read More »
In August 2012, the capital markets witnessed a trading catastrophe of monumental proportions as a new market-making algorithm deployed by Knight Capital Group (KCG) managed to elude the firm’s core monitoring systems and amass a multi-billion dollar position which ultimately resulted in over a $440 million loss. KCG was left hobbled and needed to sell
12 Top Tips for Monitoring Algo Trading Read More »
IDX from FIA is the go-to event for listed derivatives markets in Europe and current political and regulatory developments make it a very interesting place to be these days. Here are our takeaways from our recent time in London attending IDX: While the inability of politicians to come to formal decisions about Brexit and
FIA IDX 2019: Notes and Observations Read More »
QuantFEED to support Validus, Eventus’ trade surveillance and risk platform LONDON, England and AUSTIN, Texas, June 10, 2019: QuantHouse, the leading independent global provider of end-to-end systematic trading solutions including innovative market data services, algo trading platform and infrastructure solutions, today announced that QuantHouse’s QuantFEED has been selected by Eventus Systems to provide high
Cloud Version of Validus Platform Deployed for Global Futures Activity AUSTIN, Texas, June 3, 2019 – Eventus Systems, Inc., a leading global trade surveillance and market risk platform provider, announced today that INTL FCStone Inc., a Fortune 500 company, has signed with the firm to provide its futures market surveillance technology. INTL FCStone recently
Last week ErisX addressed recent research related to market manipulation in crypto markets and shared how our operational model seeks to avoid and actively combat the kinds of ‘malfeasance’ that has been reported on other centralized exchanges. This week we are working with our market surveillance partner, Eventus Systems, to provide more insight on how we are
The Challenges of Surveilling Crypto Futures and OTC Markets Read More »
When it comes to addressing the legal, compliance and risk issues facing commodity and futures markets, it doesn’t get any better than FIA Law & Compliance. For over 40 years, top practitioners, lawyers and regulators have convened at L&C. As the industry has grown, so too has the conference and 2019 was no exception. Here
2019 FIA Law & Compliance conference recap Read More »
The definitions that govern disruptive trading practices are constantly evolving and one area that has garnered an increasing amount of market surveillance interest in the last several years concerns activities that occur immediately before and during the market open. As an example of this focus, the CME Group has issued a new Market Regulation Advisory
Keeping an Eye on the Open: A New Market Regulation Notice from the CME Group Read More »
FIA Boca is one of our favorite events of the year and the 2019 edition didn’t disappoint. In addition to high quality content that illuminates the most important issues facing the derivatives trading industry the conference also proved to be fertile ground for connecting with long-time industry colleagues as well as generating new business ideas.
Regulation and Optimism: News from FIA Boca 2019 Read More »
Trends in trade surveillance and regulation In the first two installments in this blog series, we looked at the regulatory actions from the CFTC in fiscal year 2018 and one of the central messages that the agency is trying to deliver. In the first case, we saw that the size and complexity of enforcement
Enforcement Trends at the CFTC (Part Three): What the Future Holds Read More »
