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Taking on crypto’s major compliance challenges
The rise of cryptocurrencies has brought with it both opportunities and challenges. So what does this new crypto ecosystem mean for compliance professionals?
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CFTC implements NASDAQ market surveillance technology
The upgrade comes as the agency anticipates increased regulatory power over digital assets.
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IOSCO thematic review pinpoints key challenges to effective market surveillance
Proliferation of venues and assets, data challenges as well as rapid technological change identified as key concerns.
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Tackling market abuse: Assessing surveillance for asset managers
Common risks asset managers are facing as a result of their day-to-day trading activities.
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ACER consults on new data reporting requirements in REMIT
ACER has launched a public consultation on changes to the Annex of the REMIT Implementing Regulation concerning data reporting in wholesale energy markets.
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Tackling market abuse: Blocking threats for brokers
With brokers still struggling with their trade surveillance obligations, here are some common issues to consider when monitoring market abuse.
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FCA highlights technology implementation as weak point in market surveillance
Market Watch 79 includes specific examples of failures and the results of a review of automated surveillance model testing.
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CFTC amends rules for large trader reports
The changes are intended to give the regulator better insight into large positions and exposures in the futures and options markets.