Demanding Regulators Drive Surveillance Tech Requirements

Increasingly advanced watchdogs have "upped the ante" for trading firms, compliance chiefs say.

CCTV cameras

Having long had a reputation for being lawyers who are soft on technology, regulatory agencies such as the US Securities and Exchange Commission (SEC) have invested heavily in both systems and personnel relating to advanced market oversight in recent years.

Other agencies, including the Office of the Comptroller of the Currency (OCC) and the Commodity Futures Trading Commission (CFTC), have also become interested in technology developments through fintech programs and reviews of emerging

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Removal of Chevron spells t-r-o-u-b-l-e for the C-A-T

Citadel Securities and the American Securities Association are suing the SEC to limit the Consolidated Audit Trail, and their case may be aided by the removal of a key piece of the agency’s legislative power earlier this year.

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