Surveillance
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Instinet dinged for surveillance lapses over potential manipulative trading
FINRA and the NYSE said the firm used unreasonable surveillance parameters to flag potential manipulative trading activity.
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Why high-risk training is the missing link in modern surveillance
Technology may have transformed detection. Accountability, however, is still built by people, and institutions still need to be able to answer, “Who made the decision – and why?”
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Saxo Bank fined DKr 2m for inadequate transaction reports
The bank made over 80 million incomplete or inaccurate reports to the Danish Financial Supervisory Authority.
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OpenAI deal will allow UK firms to store their data on British soil
UK government sees the deal as a litmus test to assess and enable AI adoption across the public sector data – but concerns remain over sovereignty and competition.
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Crypto firms and bank trade groups submit comments on digital assets and surveillance
They submitted responses to the US Treasury’s request for feedback on how emerging tech (like AI) could be implemented to best detect illicit digital asset activity.
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FINRA on incorporating AI into surveillance, risk reviews
FINRA uses AI for market surveillance and conducting firm risk reviews, and it assumes you are using it for your oversight needs too.
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UK regulators broadly support digital ID scheme
The scheme has lost popularity with voters, but regulators maintain it would work in the UK’s favor.
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New focus for compliance as crypto goes mainstream
The significance of US legislation and the risk-management imperative.