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.
Not having specific requirements and procedures for firms to refer to ended up putting some funds in a tough place during the pandemic’s early days.
The regulatory business is developing enhanced analytics to improve reporting accuracy and identify signs of market manipulation.
The financial industry is losing faith in the LEI initiative as regulatory mandates remain patchy, but some see hope in SFTR’s unique-issuer LEI. By Mariella Reason
The implementation of Mifid II in January 2018, along with the existing Market Abuse Regulation (MAR) introduced new responsibilities and obligations for market participants
Irisium Surveillance will help the bitcoin exchange to better monitor for volume manipulation, wash-trading and fake liquidity.
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…
This year RIMES Technologies takes home the award for the best middle-office initiative in the vendor section of the AFTAs, thanks to its work with institutional asset manager Fort Washington Investment Advisors. RIMES’ project with Fort Washington,…
Next phase of FIRDS gives market participants access to reference data needed to comply with Mifid II and Mar.
Artificial intelligence is gaining traction among regulators, exchanges and financial firms sifting through massive amounts of data to spot potential pricing manipulation. Kirsten Hyde asks whether the industry is ready to go all in on AI.
The influence of regulation and new technology is prompting a hard look at how post-trade processes can be improved, and perhaps even replaced entirely.
The regulator says that it cannot create a layer of permitted compliance below European standards.
Nasdaq purchases buy-side surveillance vendor to integrate behavioral analysis into market oversight
The Financial Instrument Reference Data System (FIRDS) will go live on July 17, 2017.
John hopes that preparations for the incoming regulation are top of the New Year’s resolutions pile for asset managers.
The implementation of the Market Abuse Regulation last year was a small sample of what the market can expect when Mifid II takes effect next year.
Sponsored feature: Rimes Technologies
After years of rigorous sell-side regulations, the buy side is experiencing its turn in the spotlight as the eventual implementation of Mifid II approaches, but John thinks the European regulators need to decide on a more clearly defined position.
John matches up UK political party leaders with their most likely financial technology startups.
RIMES’ RegFocus offering is designed to reduce the risk of insider dealing and market manipulation for the buy side and helps firms comply with the new MAR regime.
Market abuse surveillance capabilities deployed on European fixed-income multilateral trading facility.
The message from regulators is clear: firms must comply with current European regimes. But in the longer term, the answer is that the only certainty is uncertainty
Firms need to adopt new technologies in data surveillance and monitor communications to check for market manipulation intent