Market abuse
UnaVista Rolls Out Reporting Analytics for Performance and Market Surveillance
The regulatory business is developing enhanced analytics to improve reporting accuracy and identify signs of market manipulation.
Banks Race to Adapt AML Systems for the Coronavirus Age
Lenders expect regulatory lashing if controls fail to keep pace with changes in criminal behavior.
AI Fraud Systems Frazzled by Covid-19
Seismic changes in customer behavior are seeing machine learning solutions throw out false positives.
MEMX Goes with Nasdaq for Market Surveillance
The Members Exchange plans to be live with the platform by its launch date of July 24, despite market volatility.
Nasdaq Updates Surveillance Offering to Build Trader Profiles to Catch Spoofing
The company is combining different data sources to help users spot market abuse and manipulation.
Nasdaq's Lessons in Machine Learning Yield New Surveillance Tool
The offering, which took more than a year to build, combines deep, transfer and human-in-the-loop loop learning to find patterns.
Mind Your Language: Surveillance Systems Tackle Conduct Risk
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…
UK Watchdog Concerned over Blockchain Bandits
FCA competition chief warns that regulators may face old problems with new technology.
Archax And Aquis Enter into Tech Partnership
Aquis will provide a matching engine and surveillance technology when the project commences.
MAR and Mifid II Compliance: Consequences for Trade Surveillance
The implementation of Mifid II in January 2018, along with the existing Market Abuse Regulation (MAR) introduced new responsibilities and obligations for market participants
FCA to Tackle Big Data, Expects Firms to Act Ethically
Charles Randell says data and technology usage by firms should "liberate" not "disenfranchize" consumers, and regulation is "central to defining" ethical practices.
Market Cops Turn to Crime-Fighting Robots
An expanding use of artificial intelligence is taking over surveillance practices, but some believe there are limits to what can be achieved.
Rimes Targets Market Surveillance with New Regtech Offering
Vendor expands RegFocus platform with surveillance capabilities designed to detect suspicious trading behavior.
AFTAs 2017: Most Innovative Third-Party Technology Vendor—Infrastructure—UnaVista
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…
As Mifid II Debuts, Full Compliance Remains Elusive
Market participants say much remains to be done as Europe debuts new rules.
Mifid's Architect: Esma Chair Steven Maijoor
Europe’s top markets cop talks to Waters about Mifid II and III, Brexit, no-action letters, clearinghouses and the regulator’s future.
Technology Takes Aim at Post-Trade Black Holes
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.
FCA Enhances Technology Firepower and Warns on Mifid II
The regulator says that it cannot create a layer of permitted compliance below European standards.
Esma Gains Sweeping New Powers in Commission Review
MEP Markus Ferber tells Waters that this change “must not mean that the ESAs can do what they want to just because they get more money,” and that the ESG provisions are “a non-starter”.
Mifid Gears Grind into Motion as Systematic Internalizers Emerge
Market codes release shows over a dozen new entities registered in activity ramp-up
Market Cops Dust for Fingerprints in Modern Spoofing Cases
Data analytics are now being used to track manipulative trading, increasingly in real time.
Convergex Taps Ancoa for AWS-Hosted Market Surveillance Platform
Agency-only brokerage taps Ancoa for hosted platform in response to increasing regulatory demand for market surveillance tools.
Thomson Reuters Adds Bilateral Chat to Eikon Messenger
The functionality will enable firms to ensure compliance and minimize opportunities for collusion on market manipulation.