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Industry Insights

Modern Trade Surveillance: Smarter, More Flexible Regulatory Technology

Originally published by Markets Media   Compliance in Focus is a content series on regulatory topics for financial markets and challenges compliance officers face in addressing surveillance and monitoring. Compliance in Focus is produced in collaboration with Eventus. Modern Trade Surveillance: Smarter, More Flexible Regulatory Technology A perspective from the highly fragmented, and rapidly evolving, European markets. …

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Digital Asset Compliance: Lessons from the Public Sector

Originally published by Markets Media   Compliance in Focus is a content series on regulatory topics for financial markets and challenges compliance officers face in addressing surveillance and monitoring. Compliance in Focus is produced in collaboration with Eventus. Mike Castiglione, former CIA analyst and now Director of Regulatory Affairs, Digital Assets at Eventus, brings public sector expertise and perspectives …

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CFTC Priorities: What Trading Firms Need to Know

Originally published by Markets Media   Compliance in Focus is a content series on regulatory topics for financial markets and challenges compliance officers face in addressing surveillance and monitoring. Compliance in Focus is produced in collaboration with Eventus. One year ago, the newly sworn-in chairman of the Commodity Futures Trading Commission (CFTC), Rostin Behnam, shared his vision and …

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AML in 2023: The Convergence of AML and Trade Surveillance

Originally published by Markets Media   Compliance in Focus is a content series on regulatory topics for financial markets and challenges compliance officers face in addressing surveillance and monitoring. Compliance in Focus is produced in collaboration with Eventus. As seen in 2022 and continuing this year, the pace of market change financial institutions must endure is increasing. New …

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Reimagining AML – Taking a Signals-Based Approach

Anti-money laundering (AML) is a mature industry with many aspects and choices about how best to satisfy regulatory requirements– from pre-onboarding through effective monitoring to reporting and off-boarding in order to help financial institutions stop financial crime.  AML is fairly procedural with a high degree of information gathering, processing, and analysis. Too often, AML’s pain-points …

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Equities Trading Rule-Change Proposals: Implications for Data and Surveillance

Originally published by Markets Media Compliance in Focus is a content series on regulatory topics for financial markets and the challenges compliance officers face in addressing surveillance and monitoring. Compliance in Focus is produced in collaboration with Eventus.   Among the bevy of U.S. Securities and Exchange Commission regulatory proposals issued in December 2022, some demand more prominence …

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Regulation Tech Trends into 2023–Focus on Total Costs, Prerequisite for Growth, Higher Stakes

Originally published by Finextra By: Mike Castiglione, Director of Regulatory Affairs, Digital Assets, Eventus   The year 2022 proved what many of us already know: Compliance issues can sink your business or help you survive in volatile, uncertain markets. Regulatory technology, or regtech, is how firms solve the riddle of complying with complex rules in …

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Advantages of Modern Market Abuse Surveillance for Derivatives Trading

Originally Published by DerivSource By: Christopher Waitz, Director of Regulatory Affairs, Eventus Financial institutions increasingly need robust market surveillance capabilities to keep up with regulatory enforcement requirements and changing industry best practices. But it is not as simple as adapting legacy solutions for many of these trading firms. Christopher Waitz, director of regulatory affairs at Eventus, …

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Buy to Build: How Providers Help Make Unique Trade Surveillance Systems Possible

Originally published by A-Team Insight By: Ollie Cadman, Chief Product Officer, Eventus “Buy versus Build” was a dilemma that financial institutions traditionally faced when working to create modern surveillance systems or other key elements in the risk technology stack. What groups were trying to figure out was whether purchasing products and services was more cost-effective …

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