Trade Surveillance

The U.S. Securities and Exchange Commission’s equity market structure proposals changes were assessed April 26 at the Options Industry Conference in Nashville.

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. Modern Trade Surveillance: Smarter, More Flexible Regulatory Technology A perspective from the highly fragmented, and rapidly evolving, European markets.

By Martina Rejsjö, Director of Regulatory Affairs, Eventus   SEC Charges an Asset Management Firm for Abusive Bond Trading The Securities Exchange Commission (SEC) has brought charges against an asset management firm and its founder relating to their advice and execution of trades in clients’ fixed income portfolios. The firm agreed to pay more than

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

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

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,

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

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