Originally published by Markets Media By: Jeff Bolke, Chief Revenue Officer, Eventus What was the highlight of 2022? The highlight is our continued growth, as clients and prospects face ever-mounting regulatory and compliance challenges and the need to do more with less. Markets have been volatile and uncertain. So firms are relying on us …
Joining us for our latest Eventus Quick Cuts episode “EU and UK Digital Assets Regulations,” is special guest Mark Aruliah, Senior Policy Adviser from Elliptic. Mark speaks to our Director of Regulatory Affairs, Digital Assets Mike Castiglione about the key differences in European versus UK crypto regulation. Mark brings his expertise as an ex-regulator …
Eventus Quick Cuts – EU and UK Digital Asset Regulations Read More »
NEW YORK, Dec. 14, 2022 – Eventus, a leading global provider of multi-asset class trade surveillance and market risk solutions, and Fennel Financials LLC, which just launched an Environmental, Social and Governance (ESG)-focused platform offering retail investors access to tools to better engage with companies, today announced that Fennel has chosen to deploy the Eventus …
By: Chris Waitz, Director of Regulatory Affairs, Eventus The CFTC recently released its annual report on enforcement results. The report summarizes the enforcement action taken over the previous year and provides insight into the areas of focus for the agency. This year’s report demonstrates the CFTC’s continued commitment to protecting customers and ensuring market …
By: Joseph Schifano, Global Head of Regulatory Affairs, Eventus FINRA recently alerted members to an emerging threat: “pump-and-dump-like” schemes against thinly-traded initial public offerings (IPOs). The behavior that FINRA, NASDAQ, and NYSE have all observed includes a bad actor manipulating the price of a small-cap IPO to inflate the price (pump) and then profit …
Pig-Butchering, Evolving Schemes and Surveillance Read More »
In this episode of Eventus Quick Cuts, Mike and Joe discuss the topic of government enforcement action against market abuse. Joe covers the significance of the Coscia and Oystacher spoofing cases, including how they impacted compliance teams and key lessons learned. About Eventus Eventus is a leading global provider of multi-asset class trade …
