The transaction addresses calls for integrated compliance and surveillance.

The regulator cites numerous supervision, reporting, and recordkeeping violations spanning over five years.

The asset sale include the vendor's due diligence offerings for companies and individuals.

From The Markets


The last major aspect of Senior Managers and Certification Regime takes effect in December.

Aim is to streamline compliance processes around sanctions.

The data will enable the tracking of spoofing, layering, wash trading and collusion.

The firm plans to deploy the platform to track employee trading.

Daily Email Feature

Wave Goodbye to OPR?

Opinions vary on whether the Order Protection Rule should be reformed or scrapped.

The firm is strengthening its post-trade offering by purchasing Percentile.

The vendor aligns its evaluation services for OTC derivatives compliance.