Eventus Systems

Industry Insights

A Way Forward for Cryptocurrency Market Compliance

The cryptocurrency market is developing in real-time, right before our very eyes. Borne from the world of technology rather than the realm of finance, cryptocurrency markets understandably lack most of the features and functions that are taken for granted in traditional financial markets. Many of these shortcomings have been examined – and often exaggerated – …

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FIA Asia 2018

FIA held their 14th annual Asia Derivatives Conference in Singapore from November 27 – 30 and the robust crowds, Brexit questions, and positive views regarding Chinese futures markets painted a rosy picture for industry growth in the region. Compared to the FOW Derivatives World Asia event in April (you can read our recap of that …

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The Bright Side of Increased Regulation: One Deed Fulfills Multiple Needs

Much has been made about the proliferation of data, particularly as it relates to an increase in the amount that is required to meet regulatory obligations. While it’s easy to make the case that this increase in mandatory data generation and retention is a cost that is imposed upon a business and one that has …

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How To Protect Yourself When Using Intermarket Sweep Orders and Breaking the Order Protection Rule

“With great power comes great responsibility” – Voltaire (or Spider Man’s Uncle Ben)   As the fairly controversial and seemingly very expensive SEC tick pilot comes to a close in October, it’s a good time to reflect on the very interesting exemptions to Rule 611, specifically the use of Intermarket Sweep Orders (ISOs) and their …

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IOP Surveillance-Critical Component of a Comprehensive Trade Surveillance Program

The focus of regulators and exchanges continues to sharpen and recent interest has zeroed in on the activity prior to the opening of the market. In products where an Indicative Opening Price (IOP) is utilized, regulatory action and fines have come down for behaviors that are deemed to be manipulative. To assist firms in managing …

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How can we help? – Disrupting the Regulatory Industry

I recently rehashed an old idea of mine as I was reading Chris Skinner’s post “Real-time connections between regulators and banks is a game-changer.” If a financial regulatory body (like FINRA or ESMA for instance) was being created today, how could it be different? As Chris lays out in his post, regulators are starting to look …

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