Eventus

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SEC and CFTC Request Double-Digit Budget Increases in Part to Expand Trade Surveillance Capabilities

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 […]

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John Lothian News: Jeff Bolke of Eventus Talks to John Lothian News at FIA Boca

  Originally Published by John Lothian News. Jeff Bolke, the Chief Revenue Officer at Eventus, was interviewed by John Lothian News at the FIA International Futures Conference in Boca Raton, FL. about its world of trade surveillance, market risk and anti-money laundering. Bolke discussed Eventus’ three-pronged approach to success. One big advancement for Eventus in

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Digital Asset Compliance: Lessons from the Public Sector

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

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Monitoring for Disruptive Trading and Adverse Price Impact

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,

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National Futures Association Anti-Fraud Rule 2-51 for Digital Assets

By: Mike Castiglione, Director of Regulatory Affairs, Digital Assets, Eventus   The National Futures Association (NFA) in March 2023 proposed a new rule to expand its anti-fraud, trade monitoring, and supervision requirements on all members that engage in digital asset commodities activities, in both derivative and spot markets. This rule goes into effect on May

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CFTC Priorities: What Trading Firms Need to Know

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. One year ago, the newly sworn-in chairman of the Commodity Futures Trading Commission (CFTC), Rostin Behnam, shared his vision and

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Conduct and Control: Centralizing Trade Monitoring to Combat Market Misconduct

By: David Griffiths, Director of Regulatory Affairs, APAC, Eventus   White Paper Insights This white paper examines how regulators approach market disruption in the digital era, and how institutions are responding. Discover how institutions are breaking down boundaries in trade compliance, and what it means for operational efficiency.   Download the white paper here:

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AML in 2023: The Convergence of AML and Trade Surveillance

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. As seen in 2022 and continuing this year, the pace of market change financial institutions must endure is increasing. New

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