Compliance in Focus

Aram, or Aquis Real Asset Market, aims to launch in the second half of the…

The regulator has updated Rule 605, which helps investors compare execution quality at market centers.

Financial firms need to break the cycle of just maintaining baseline capabilities.  

Automation and tech customization can address sticking points such as false positives and market manipulation.

Prosecutions can provide lessons for firms to improve compliance, governance and trade surveillance.

Big banks' concerns about vendors span the entirety of cybersecurity.

Newer technologies such as AI are infiltrating all areas of life, and compliance is no…

Newer technologies enable firms to focus less on maintenance and more on moving the business…

Now is the time for firms to reassess compliance risk and anticipate what might be…

The more compliance workers collaborate, the more effective they are.

Four-paragraph CFTC notice holds firm-level and market-wide implications.

European crypto rules will require compliance professionals to pivot to new environments and risks.

OIC panel says order competition, tick size changes would have unintended consequences in options. 

A perspective from the highly fragmented, and rapidly evolving, European markets.

'Shadow trading' can be stopped at its source with the right teams and technology.

Eventus's Mike Castiglione discusses how his CIA background brings a valuable perspective to the capital…

Ambitious regulatory agenda includes risk management, data and technology, and vendor due diligence.

Due diligence process has not kept pace with the proliferation of algorithmic trading.

The absence of designated intermediaries pose challenges for regulation, compliance, and financial stability.