Eventus

Shiqin Cao

The Trade: Complexity of trade surveillance has increased significantly over the past three years, finds report

Originally published by The Trade   New study from Acuiti, commissioned by Eventus, found increased regulatory requirements and market volatility to be the main drivers of heightened complexity in trade surveillance. A new study from Acuiti has found increasing investment in automation to combat pressure on manual processes. This has been found to be resulting …

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New Research by Acuiti and Eventus Reveals Increase in Regulatory Requirements, Trading Environment Complexities Drives Investment in Trade Surveillance

London / New York / Singapore – 29 November 2022: The increasing complexity of trade surveillance requirements, driven by regulatory demands and exacerbated by volatility, is putting pressure on manual processes and driving investment in automation, a new study by Acuiti has found.  Acuiti’s latest report — “Getting to the risk quicker: How trade surveillance …

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Eventus Wins Three More Awards for Regulatory Compliance, Trade Surveillance, Innovation in Digital and Other Assets

Regulation Asia Awards for Excellence and Canadian RegTech Awards honor company and its Validus platform for second consecutive year NEW YORK / SINGAPORE / TORONTO, Nov. 28, 2022 – Eventus, a leading global provider of multi-asset class trade surveillance and market risk solutions, announced today that in the past week, the firm earned three more …

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FinTech Global: Eventus explores if pre-hedging is market manipulation

Originally published by FinTech Global   ESMA’s recent MAR Review acknowledged there were varying views on pre-hedging. Eventus has explored whether pre-hedging counts as market manipulation. As a follow-up to its Review, the regulator is now analysing the practices of pre-hedging and will issue a call for evidence. Eventus stated that during the review, ESMA alerted market …

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Running a Trade Surveillance System Without Proper Calibration and Procedures Is Like Having a Race Car With No Brakes

By: Chris Montagnino, Director of Regulatory Affairs, Eventus   Recently, a broker-dealer was faced with an $850,000 fine from FINRA and a significant undertaking to hire an independent consultant for failures in the supervision of their surveillance and AML processes. The Firm did not have procedures to monitor for potentially manipulative trading, as well as …

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Considerations for Spoofing Detection – Proving Intent

Originally published by TabbFORUM   As the CFTC continues to aggressively pursue spoofing violations, the charges and orders also provide insights into what the CFTC believes is proof of intent to spoof, writes Chris Waitz, Director of Regulatory Affairs at Eventus. In this article, Mr. Waitz offers eight examples of what the CFTC considers evidence …

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FinTech Global: How KYC Processes Differ Internationally

Originally Published by FinTech Global   With the world becoming ever more digitalised, the need for strong KYC and AML practices has never been more important. How do they differ internationally? Clausematch GRC professional Eugenie Casier remarked, “KYC legislation is very much siloed. Different markets have different levels of maturity and different regulators will stress …

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