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3 Key Facets of Market Monitoring and Surveillance

We’re now experiencing a new technology shift... It’s no wonder, then, that there is an increased focus from regulators on market monitoring and surveillance tools, and their use among market...

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Surveillance and Monitoring in the Looking Glass

This blog post originally appeared on Wall Street & Technology and Advanced Trading. The ESMA guidelines on automated trading (2012/122) – dictating that anyone using and/or providing direct market...

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Investor Protection Questions Your Firm Can’t Afford to Ignore

A version of this blog post was originally published on the Chartis RiskTech Forum. It’s 2007. Imagine a small-cap company, such as a family-run farm, and imagine the farmer needs to renew a loan he...

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When Is Compliance a Competitive Advantage?

This blog post originally appeared on Wall Street & Technology. Like many things in life, our interpretation of a subject varies based on the experience through which we approach it. If you ask a...

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The Regulatory Pressure Cooker: Building a Culture of Compliance in Capital...

This blog post is part of a series focusing on regulatory readiness in the financial services industry. A version of this blog post originally appeared in ISS Mag. For a number of years, the market has...

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Investor Protection: The Next Focus of Automated Compliance and Surveillance...

The European Securities and Markets Authority (ESMA) is turning up the heat on national regulators to enforce and monitor MiFID conduct of business rules, where Article 37 of the MiFID Implementing...

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