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Trade surveillance
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EU proposes direct ESMA oversight for major trading venues
We consider industry pushback and sovereignty concerns with Tom Callaby, CMS; and Miroslav Đurić, Taylor Wessing.
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Ex-JP Morgan precious metals spoofers get combined $350,000 fine
Consent orders require two former precious metals traders to pay hefty civil penalties and accept industry bans, concluding an enforcement action launched in 2019.
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Credit Suisse Securities settles with FINRA for trade surveillance lapses
Technology issues and lax supervisory procedures allegedly led to “hundreds of millions” of trade, order and position records being omitted from its surveillance systems.
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Citi, UBS, BNY and three others fined in CFTC Enforcement Sprint Initiative
Six major banks agreed to pay penalties to resolve compliance violations, most of them receiving maximum cooperation credit.
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FCA shares findings following UK review of algorithmic trading controls
The FCA’s review is intended to help PTFs comply with existing requirements and does not create any new obligations.
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ACER’s Q2 2025 REMIT Quarterly: Key takeaways for compliance professionals
Ongoing regulatory scrutiny, new transparency tools, and a continued focus on improving surveillance and reporting standards.
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Clearing firm fined for surveillance lapses related to potentially manipulative trading
FINRA outlined failure to implement effective supervisory and surveillance practices for trading and business communications recordkeeping.
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FINRA fines former CCO at BD firm over surveillance lapses
Two compliance leaders of the global firm allegedly failed to properly supervise the surveillance of securities transactions.