CAT NMS has selected the Financial Industry Regulatory Authority (FINRA) as plan processor for the consolidated audit trail (CAT), having dumped previous plan processor Thesys Technologies earlier this year. CAT NMS, which is responsible for implementation of the CAT, has also released updated industry member technology specifications and industry member technical specifications scenarios.
9 October 2025 11:00am ET | 3:00pm London | 4:00pm CET Duration: 50 Minutes Non-financial misconduct—encompassing behaviours such as bullying, sexual harassment, and discrimination is a key focus of the Senior Managers and Certification Regime (SMCR). The Financial Conduct Authority (FCA) has underscored that such misconduct is not only unethical but also poses significant risks...
TMX Group has announced the launch of AlphaX US, a new Alternative Trading System (ATS) venue designed to enhance execution quality for US-listed securities. This marks the first international expansion for TMX Group’s Markets division beyond Canada. AlphaX US will exclusively trade securities governed by Reg NMS, including common stocks, exchange-traded funds, and American depository...
Buy AND Build: The Future of Capital Markets Technology London examines the latest changes and innovations in trading technology and explores how technology is being deployed to create an edge in sell side and buy side capital markets financial institutions.
AI is no longer on the horizon – it’s embedded in the infrastructure of modern capital markets. But separating real impact from inflated promises requires a grounded, practical understanding. The AI in Capital Markets Handbook 2025 provides exactly that. Designed for data-driven professionals across the trade life-cycle, compliance, infrastructure, and strategy, this handbook goes beyond...
