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May 2023

Market Manipulation Spoofing Case Against Registered Swap Dealer

Validus in Practice (ViP) / By

The Commodity Futures Trading Commission (CFTC) in May 2023 levied a $45 million fine against a tier-1 bank for engaging in spoofing in the US dollar swaps market, other deceptive and manipulative trading practices related to the bond issuer swaps market, and communication recordkeeping failures for mobile devices. This enforcement action is notable for applying …

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FinTech Global: Adapting to the MiCA Era: The Essential Guide for Compliance Officers in Crypto

Eventus in the News / By

Originally published in FinTech Global   In a recent post by Eventus, the company outlined some of the key things compliance officers need to know around the new Markets in Cryptoassets (MiCA) legislation. Recently, the European parliament sanctioned comprehensive legislation, MiCA to regulate the crypto assets market. This wide-ranging legislation covers aspects such as transparency, disclosure, …

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The Fintech Times: Protiviti, Eventus, ClauseMatch and Hummingbird Discuss the Role of Compliance Over the Next Decade

Eventus in the News / By

Originally published in The Fintech Times   The regtech space is in for a major shake-up, with the FCA‘s new Consumer Duty regulations coming into effect in two months. This presents an opportunity for financial institutions to adopt a new approach to compliance and regulation. Innovation being catapulted forward by the pandemic and the recent evolution …

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Eventus named Best Trade Surveillance Solution at 2023 RegTech Insight Europe Awards

Press Releases / By

Second consecutive year firm’s Validus platform wins category LONDON / NEW YORK, May 19, 2023 – Eventus, a leading global provider of multi-asset class trade surveillance, market risk and algo monitoring solutions, has won the RegTech Insight Europe Award for Best Trade Surveillance Solution for the second consecutive year. The award, bestowed yesterday in London, …

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MiCA & Market Surveillance: What Compliance Officers Need to Know

Industry Insights / By

Originally published in 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. The European parliament recently approved comprehensive legislation to regulate the crypto assets market. The Markets in Cryptoassets (MiCA) regulation covers transparency, disclosure, and financial stability, and …

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A Guide For Compliance Leaders: Top Market Surveillance Priorities For Regulators

White Papers / By

In our newest report, we analyze the priorities of several global regulators and highlight ways to keep your firm ahead of the curve and ready for future regulatory changes. Key insights include: An overview of top priorities for SEC, FINRA, CFTC, UK’s Financial Conduct Authority (FCA), European Securities and Markets Authority (ESMA), Canada’s New SRO, …

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Yuanta selects Eventus for trade surveillance

Press Releases / By

Leading financial holding company represents first Taiwanese Eventus client TAIPEI/NEW YORK, May 10, 2023 (May 9, 2023 EDT) – Eventus, a leading global provider of multi-asset class trade surveillance, market risk, transaction monitoring and algorithmic monitoring solutions, has been selected to provide trade surveillance for Yuanta Futures in Taiwan, representing the firm’s first Taiwanese client. …

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Options Market Eyes SEC Equity Proposals

Industry Insights / By

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

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