Regulators will need biographical information to get the most out of the Consolidated Audit Trail, advisor said, as broker-dealers and exchanges argue over liability for breaches.
The service would aim to allow buy-side firms to proactively monitor for trading abuse, rather than react after the event.
Vendor integrates open source stream processing software Apache Kafka for real-time event data.
Due to the pandemic and rapid advancements in the fields of AI and mobile technology, regulators in the US and Europe have unique challenges on their hands.
Officials say the new product will enable firms to aggregate and correlate the data required to fulfill trade reconstruction obligations within seconds.
Jo wonders if the EC's approach to regulating AI could adapt existing liability laws—with implications for individuals.
Covid-enforced remote working creates new threats and vulnerabilities for bad actors to exploit, say cyber experts
Firms are investing in new solutions for monitoring the front office in lockdown conditions, but the latest technologies raise concerns about privacy and intrusion.
The regulatory business is developing enhanced analytics to improve reporting accuracy and identify signs of market manipulation.
Lenders expect regulatory lashing if controls fail to keep pace with changes in criminal behavior.
Seismic changes in customer behavior are seeing machine learning solutions throw out false positives.
The Members Exchange plans to be live with the platform by its launch date of July 24, despite market volatility.
The company is combining different data sources to help users spot market abuse and manipulation.
The offering, which took more than a year to build, combines deep, transfer and human-in-the-loop loop learning to find patterns.
While advanced voice analytics technologies have been around for years, banks have often used them as a blunt instrument, or a regulatory checkbox. Now they are increasingly seeing them as useful tools for managing conduct risk and employee protection…
FCA competition chief warns that regulators may face old problems with new technology.
Aquis will provide a matching engine and surveillance technology when the project commences.
The implementation of Mifid II in January 2018, along with the existing Market Abuse Regulation (MAR) introduced new responsibilities and obligations for market participants
Charles Randell says data and technology usage by firms should "liberate" not "disenfranchize" consumers, and regulation is "central to defining" ethical practices.
An expanding use of artificial intelligence is taking over surveillance practices, but some believe there are limits to what can be achieved.
Vendor expands RegFocus platform with surveillance capabilities designed to detect suspicious trading behavior.
UnaVista, the London Stock Exchange Group’s (LSEG’s) platform for matching, reconciliation and reporting, makes its debut at the AFTAs as winner of the most innovative third-party technology vendor (infrastructure) category, at a time when industry focus…
Market participants say much remains to be done as Europe debuts new rules.
Europe’s top markets cop talks to Waters about Mifid II and III, Brexit, no-action letters, clearinghouses and the regulator’s future.