Eventus

Comprehensive regulatory and compliance coverage across jurisdictions and asset classes

Evolve your compliance program as surveillance complexity increases.

Broker-dealer and intermediary coverage

Compliance teams in broker-dealers and other intermediaries face regulatory complexity, siloed data, and technical debt. Whether trading, agency execution, or clearing operations, they need flexible alert parameters fit for their jurisdiction, asset classes, and operational needs.

Monitor for market manipulation as well as broker-dealer compliance with SEC, FINRA, exchange-specific rules, and more.

Clients use procedures to cover SEC series 10b prohibitions, Reg NMS order handing, Reg SHO, intermarket sweep orders (ISOs), FINRA Rule 2020 and 3110, Rule 15c3-5 post-trade surveillance, market making rules, and global market abuse requirements. Read more.

FCM compliance coverage includes CFTC and NFA market surveillance requirements with real-time monitoring using pre-built and custom procedures. Captures market manipulation, disorderly trading, disruptive and adverse price impact against commodities, futures, and options. Gain financial positioning alerts and exchange-specific supervisory controls such as for Customer Type Indicator (CTI), CME tag 1028, CME Tag 50, and Large Trader ID violations. Read more.

Robust supervisory procedures and risk controls for SEC and CFTC implementation of Dodd-Frank for Swap Dealer compliance.

Swap Dealer clients use procedures for cancellations and corrections, price fixing, washing trading, front running, pre-trade mid-mark requirements, along with the suite of manipulation alerts.

Procedures and reports for UK and EU MAR compliance, MiFID II, RTS 6, and compliance regimes across the Middle East. Covers any financial instrument traded on a Regulated Market, Multilateral Trading Facility (MTF), Organised Trading Facility (OTF), Systematic Internaliser (SI), Contract for Difference (CFD) Brokers, or algorithmic trading firm. Tracks Indication of Interest (IOI) and Requests for Quotes (RFQ), plus Algo Monitoring for RTS 6 compliance. Read more.
Flexible technology for diverse regulatory regimes, at-scale architecture for high-growth markets, real-time surveillance and algo monitoring. Recipient of numerous awards in Asia-Pacific for market surveillance with technology and expertise that covers a range of uses, including at a trading venue in Japan, a securities broker in Taiwan, and an Australian financial services provider. Read more.

Market manipulation

Full-suite of over 150 market manipulation procedures to defend against fraud and deceptive practices, like spoofing, layering, flashing, front running, and wash trading. Robust insider trading procedures include cross-product for equity options.

Supervisory procedures

Implement customized supervisory procedures for market making, limit/market held orders, limit order display, Manning rule, short sale restrictions, and more.

Exchange-specific rules

Clients operate globally, across markets on five continents and monitor for rules unique to their jurisdiction, such as for behaviors at opening/closing and message requirements. 

Focus on actionable alerts

Broker-dealer compliance

Efficient coverage for equities, futures, fixed income and options

“I am thrilled to announce the extension of our partnership with Eventus for the foreseeable future. Our journey with Eventus commenced in 2017 when Phillip Capital first discovered this innovative company. What immediately struck us was not only their cutting-edge technology but also their unwavering enthusiasm in every interaction. This initial encounter laid the foundation for a highly successful and productive partnership with Eventus.”

Filippo Lecchini, CEO, Philip Capital

Market surveillance and transparency

Future commission merchants (FCMs)

For FCMs, the preferred market surveillance solution

Top market surveillance priorities for regulators

Prepare for tightening global trade monitoring regulations.

U.S.

The SEC, FINRA, and CFTC are focused on combating market abuse and ensuring compliance teams have the right trade surveillance capabilities tailored to their risk. These regulators explain their examination, investigation, and enforcement priorities.

EMEA

The UK’s Financial Conduct Authority (FCA) and the European Securities and Markets Authority (ESMA), along with national authorities, are combating market abuse with updated guidance and enforcement actions.

APAC

The Australian Securities & Investments Commission (ASIC), Monetary Authority of Singapore (MAS) and Hong Kong Securities and Futures Commission (HK SFC) each have different priorities for cracking down on market abuse.

Global coverage

Solutions for Europe, Middle East, Africa, and Asia-Pacific

Market surveillance priorities of global regulators

Stay ahead of the risk and catch problems before regulators do. Download

SEC and CFTC request double-digit budget increases...

The U.S. Securities and Exchange Commission (SEC) and Commodities … Read more

Compliance and trade surveillance considerations

Implications for compliance teams, particularly at broker-dealers. Download

A guide For regulatory compliance or a warning...

Understand where the FCA are spending their time and resources. Download

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