A key takeaway is that data challenges persist, despite being continually flagged for years.
Surveillance
A regular overview of notable enforcement cases and trends in the US.
Compliance
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Surveillance trends, regulator supervision, and the role of AI at wholesale banks and brokers
A synopsis of views and advice on current trends, regulatory supervision, and some practical solutions to the latest challenges.
ACER backs NRA enforcement of REMIT and demands better surveillance from traders.
CIRO alleges a firm failed to adequately supervise the US over-the-counter securities trading by two foreign broker-dealer clients.
Bank has been accused of not having in place effective systems and controls to detect and prevent potential market abuse.
FINRA and the NYSE said the firm used unreasonable surveillance parameters to flag potential manipulative trading activity.
Technology may have transformed detection. Accountability, however, is still built by people, and institutions still need to be able to answer, "Who made the decision – and why?"