Originally published by FinTech Global The pace of market change that financial institutions must endure is climbing, with every year posing new challenges and opportunities. What will happen in AML in 2023? In a recent post, Eventus president Jeff Bell explained how he is reimagining AML as well as some of the top challenges compliance officers …
FinTech Global: What Does 2023 Have in Store for AML? Read More »
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 …
AML in 2023: The Convergence of AML and Trade Surveillance Read More »
In this special in-person feature from our Eventus Quick Cuts series, our Director of Product Marketing Tim Williams sits down with our President and COO Jeff Bell to discuss our exciting new product – Validus AML (VAML). About Eventus Eventus is a leading global provider of multi-asset class trade surveillance and market risk solutions. …
By: Mike Castiglione, Director of Regulatory Affairs, Digital Assets, Eventus Only 15 percent of cryptoasset applicants have gained approval under the UK Financial Conduct Authority (FCA) anti-money laundering (AML) and countering-terrorist finance regime, according to a recent FCA notice. To assist applicants, the FCA offers guidelines about what constitutes good and bad applications to …
UK’s Financial Regulator Gives AML Application Guidance Read More »
By: Mike Castiglione, Director of Regulatory Affairs, Digital Assets, Eventus The UK Treasury (HMT) published a consultation paper on February 1, 2023 to outline its thinking about expanding crypto regulations, such as applying elements of the Market Abuse Regulation (MAR) that covers other asset classes and to give crypto trading venues monitoring responsibilities. The …
UK Cryptoasset Policy Paper Emphasizes Market Abuse Rules Read More »
By: Christopher Waitz, Director of Regulatory Affairs, Eventus Last year, U.S. futures exchanges continued to pursue enforcement action, with fines up to $500,000, for each violation of exchange Operator ID rules. The Operator ID, commonly known as “Tag 50” due to the data field used by CME group exchanges, is used to uniquely identify …
Anti-money laundering (AML) is a mature industry with many aspects and choices about how best to satisfy regulatory requirements– from pre-onboarding through effective monitoring to reporting and off-boarding in order to help financial institutions stop financial crime. AML is fairly procedural with a high degree of information gathering, processing, and analysis. Too often, AML’s pain-points …
Reimagining AML – Taking a Signals-Based Approach Read More »
Originally published by Markets Media Compliance in Focus is a content series on regulatory topics for financial markets and the challenges compliance officers face in addressing surveillance and monitoring. Compliance in Focus is produced in collaboration with Eventus. Among the bevy of U.S. Securities and Exchange Commission regulatory proposals issued in December 2022, some demand more prominence …
Equities Trading Rule-Change Proposals: Implications for Data and Surveillance Read More »
