By Joe Schifano, Global Head of Regulatory Affairs, Eventus Originally published on MarketsMedia Top-notch compliance officers are continually looking around the corner for the next problem — the unexpected market risk, the new trading technology with too few guardrails, the shifting regulatory priorities. Yet a well-known, illegal trading behavior — spoofing — persists, as headlines again …
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. In August 2023 the Financial Conduct Authority, the UK market regulator, published a “Dear Chief Executive” letter addressed to Principal Trading Firms. The FCA …
Parsing the FCA’s “Dear Chief Executive” Letter to Principal Trading Firms Read More »
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. Joseph Schifano, Global Head of Regulatory Affairs at Eventus, recently appeared on the DerivSource podcast ‘Living the Trade Lifecycle’ – specifically its ‘Professional Pivots’ series …
Tech-Savvy Compliance Pros Have Abundant Career Opportunities Read More »
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. Legacy trade surveillance and compliance systems can hinder a firm’s ability to respond nimbly to new market and regulatory pressures. In this Compliance …
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. By Mike Castiglione, Director of Regulatory Affairs, Digital Assets at Eventus Those who work in highly regulated industries know that there’s usually …
Regulators Care about Crypto Market Manipulation. Here’s What Really Matters. Read More »
Originally published on Compliance Chief 360 Leaders in any industry must anticipate the challenges–and opportunities–their companies face. As compliance practitioners responsible for trade surveillance, are we keeping pace with current and future challenges? Some evidence to consider: A top-tier bank was found to have no surveillance on its voice-brokered swaps desk, resulting in a $45 million …
Practitioners Must Drive Trade Surveillance Compliance Read More »
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. Trade Surveillance Compliance officers are commonly known for their deep regulatory knowledge, strong command of details and ability to make informed judgements. …
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. Commodity Futures Trading Commission’s May 17 advisory that some prime brokers might have to register as derivatives clearing organizations (DCOs) is a …
For Some Prime Brokers, DCO Registration Looms Large Read More »
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 …
MiCA & Market Surveillance: What Compliance Officers Need to Know Read More »
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 …
