Tag: Surveillance

Surveillance

SteelEye Adds Refinitiv Market Data

Compliance technology and data analytics firm SteelEye has announced the incorporation of Refinitiv market data on to its platform. The increased volume of high quality, multi-asset and global market data enables clients to enhance their compliance and analytics, the firm says. The deal more than doubles the amount of reference sources used to enhance SteelEye’s […]

And Finally…

We should not be surprised by reports that banks in particular are “encouraging” trading and sales staff to return to the office – in spite of what looks like strange timing given the rise in COVID-19 cases in the Northern Hemisphere over the past few weeks, there is no getting away from the fact that […]

FIA Releases Market Abuse Guidelines

The Futures Industry Association (FIA) has released new guidelines to assist market participants in fulfilling obligations set by UK and European regulators in relation to surveillance and market abuse requirements. Under the Market Abuse Regulation (MAR) and the Criminal Sanctions for Market Abuse Directive, market participants in Europe are subject to prescriptive requirements relating to […]

SteelEye Unveils Auto-Trade Reconstruction Solution

Compliance and data analytics firm SteelEye has released Auto-Trade Reconstruction, a solution that reduces the time it takes for a firm to reconstruct a trade from days to seconds. Under MiFID II, MAR, Dodd-Frank and other global regulations, authorised firms can be asked by the regulator at any point to reproduce the records that relate to […]

Gemini Selects Eventus for Surveillance

Cryptocurrency exchange and custody provider Gemini Trust, has selected Eventus Systems’ Validus platform for the exchange’s new trade surveillance solution. The signing marks the sixth exchange in the digital asset space to turn to Eventus for trade surveillance. Gemini has adopted the cloud-based version of Validus on a T+1 basis for market surveillance that identifies […]

Nice Actimize Unveils Surveil-X Conduct

In an effort to reduce what it terms “the growing risks associated with employee misconduct and market abuse in this current environment”, Nice Actimize has announced the launch of Surveil-X Conduct, a package of machine learning-based applications which the firm says helps financial services organisations assess, manage and mitigate a broad range of conduct risks across the enterprise, […]

Company Offers Free Surveillance to Support Remote Working

Compliance technology and data analytics firm SteelEye says it is offering financial firms the opportunity to use its communications surveillance service for free for up to 90 days as the market adapts to a new style of working. Even as firms reopen their offices, SteelEye says reduced density rules are likely to prevail for some […]

In the FICC of It

As liquidity has clearly deteriorated in FX markets over the past two weeks, this week’s podcast is faced with a series of questions regarding participant behaviour, and joining Colin Lambert to discuss these issues is John Crouch, founder and CEO of Ideal Prediction. Using the imagination for which he is famous* Lambert kicks things off […]

Firms Claim Industry First for Surveillance

Regtech firm Rimes and communication compliance solution provider Soteria say they have completed the first stage of their product integration project, thus providing integrated trade and communication monitoring to provide financial firms with comprehensive surveillance capabilities. The firms say that adhering to growing regulations and evolving regulatory surveillance capabilities is technically complex and both data- […]

Australian Regulator Seeks Improvement in Banks’ FX Businesses

The Australian Securities and Investment Commission (ASIC) has published a review of its investigation into practices in the wholesale FX market and says that while it has identified conduct and process improvements in banks’ FX businesses, there remain a number of areas in need of further improvement. Specifically, ASIC says that more can be done […]