Nasdaq was awarded best solution in market & trade surveillance at Regulation Asia's 5th annual awards ceremony.
December 13, 2022Between July 2016 and January 2018, BGC Brokers, GFI Brokers and GFI Securities had deficient surveillance processes and insufficient asset class coverage.
December 13, 2022The FCA said Citigroup did not properly implement MAR requirements to monitor orders and trades to detect market abuse.
August 25, 2022Regulators also plan to launch a 'Digital Assets Committee' this month to bring additional safeguards and regulatory structure to Korea's crypto industry.
June 5, 2022Market conduct risk assessments should be done at least annually, to serve as a systematic method for assessing susceptibility to misconduct and documenting mitigating actions or controls.
January 5, 2022MyComplianceOffice allows firms to monitor and manage conflicts of interest and conduct risk within their organisations.
December 10, 2021In its latest enforcement report, MAS highlights its work to strengthen early detection of market misconduct, including through Apollo, an augmented intelligence system.
November 5, 2020The CFTC has ordered Propex Derivatives to pay $1mn, comprising restitution, disgorgement, and a civil monetary penalty. The DOJ has also entered a deferred prosecution agreement with the firm.
January 23, 2020Regulation Asia sat down with Nice Actimize's Jerome Lambert to understand how a holistic approach has improved surveillance capabilities and reduced the burden on compliance analysts.
January 15, 2020SGX RegCo is proposing to scrap the MTP rule in light of its suite of other measures to deal with market manipulation, including the pairing of trading restrictions with ‘Trade with Caution’ alerts.
November 29, 2019