Webinar takeaways from Eventus Systems and Titan Regulation & Advisory The Covid-19 pandemic has upended the world in ways that few could have predicted and the resulting turmoil in financial markets has forced many firms to scramble for solutions. In this environment, a sense of perspective is needed in order to determine if current surveillance …
Market surveillance and compliance post Covid-19 Read More »
The financial markets have never witnessed a test quite like the one posed by the COVID-19. While market volatility has skyrocketed as the virus encircles the world, the most unique challenges have come as a result of social distancing and shelter in place requirements that have resulted in extreme conditions that were never envisioned. Nearly …
As markets have evolved rapidly over the past two decades, regulators have faced the difficult task of adapting to the new realities brought about by the emergence of electronic trading. New trading practices, particularly with algorithmic trading, have dramatically altered the structure of the market and introduced new risk factors that were never envisioned when …
Wise Guidance: Sound practices for algorithmic trading from HKMA Read More »
The decade that we’ll call “The Tens” has come and gone, making it a natural time to pause and reflect on developments in the realm of market regulation and what those developments might mean as we step into the Twenties. This exercise is particularly relevant because it has been exactly ten years since the passage …
As we get past Labor Day, a few things begin to occur: the days get noticeably shorter, leaves start to change color, and industry conferences pop up like mushrooms. Most of these are general in nature, covering a wide variety of topics in scant detail, but the recent Surveillance Summit from 1LoD took a deep …
Trading Surveillance Trends: News from the 1LoD Surveillance Summit Read More »
The MAS/SGX Trade Surveillance Practice Guide When it comes to technology, innovation almost always outpaces rules and regulations. Consider the case of automobiles in the United States. From a base of hundreds produced per year in 1900, nearly 500,000 new cars were manufactured in 1914. Not coincidentally, that was the year that the very …
Shining a light and leading the way on trade surveillance Read More »
Ten Top Tips for Regulatory Compliance Compliance with laws and regulations is extremely important for all firms. Not knowing the regulatory compliance laws for your firm can result in some serious consequences. That is why all stock market trading firms should know and understand the trade compliance regulations. When you scratch the surface of …
Don’t Get Hit With An FTS (Failure to Supervise) Read More »
In August 2012, the capital markets witnessed a trading catastrophe of monumental proportions as a new market-making algorithm deployed by Knight Capital Group (KCG) managed to elude the firm’s core monitoring systems and amass a multi-billion dollar position which ultimately resulted in over a $440 million loss. KCG was left hobbled and needed to sell …
IDX from FIA is the go-to event for listed derivatives markets in Europe and current political and regulatory developments make it a very interesting place to be these days. Here are our takeaways from our recent time in London attending IDX: While the inability of politicians to come to formal decisions about Brexit and …
Last week ErisX addressed recent research related to market manipulation in crypto markets and shared how our operational model seeks to avoid and actively combat the kinds of ‘malfeasance’ that has been reported on other centralized exchanges. This week we are working with our market surveillance partner, Eventus Systems, to provide more insight on how we are …
The Challenges of Surveilling Crypto Futures and OTC Markets Read More »
