TradingTech Insight Regulatory compliance The latest content from across the platform

Upcoming Webinar: The Transformation of Buy-Side Market Surveillance

Date: 7 July 2020 Time: 10:00am ET / 3:00pm London / 4:00pm CET Asset managers, hedge funds, insurance firms, and other buy-side firms globally are becoming more active in their approach to market surveillance, as regulatory pressure to up their game mounts. Buy-side firms are now building out their surveillance infrastructure as they seek to…

Upcoming Webinar: Financial Services Infrastructure in the Post-Covid Environment

Date: 16 June 2020 Time: 10:00am ET / 3:00pm London / 4:00pm CET The Covid-19 pandemic has shaken financial institutions’ working practices to the core. Trading volumes have exploded, with some venues recording more than 10X the usual volume of transactions. Volatility has raged, with the benchmark VIX index testing new highs. And nor are…

Recorded Webinar: High noon for surveillance: resolving tension between the costs of false positives, challenges of calibration, and compliance

When it comes to trade surveillance, regulators want firms to do their own alert calibration, examine all alerts, and keep auditable records. Firms need to balance the real cost of false positives with the technical challenge and risk of self-calibrating and auto-calibrating, while compliance, IT and vendors have to grapple with the need for defensible…

Recorded Webinar: Moving the trading technology stack to the cloud

Migration of financial apps and data to the cloud is well underway as financial institutions take the opportunity to cut the cost of running systems on premise, scale as and when required, and spin up test environments quickly and inexpensively. Moving the trading technology stack to the cloud is a different and more difficult proposition….

Recorded Webinar: Best practices for best execution in multi-venue environments

Don’t miss this opportunity to view the recording of this recently held webinar. Best execution has long sat at the foundation of trading operations across all market and practitioner types. But the introduction of more onerous best execution requirements under MiFID II has raised the bar, both in terms of dealing with fragmented markets from…

Recorded Webinar: Best practice data management for trading automation

Don’t miss this opportunity to view the recording of this recently held webinar. High quality, consistent and timely data is key to automation of the trading and investment cycle, but while firms are keen to push on with automation, barriers remain. These include sourcing the right data, timely delivery, data quality and ensuring regulatory compliance….

Recorded Webinar: Data as a Service: Realizing its Value for Data Management

Don’t miss this opportunity to view the recording of this recently held webinar. Faced with substantial and rapidly changing regulatory demands, trading firms are realizing the need for agility in the way they handle data. With global regulations like MiFID II and FRTB reshaping data requirements – and the prospect of future measures introducing yet…

Recorded Webinar: High Performance Technologies for Electronic Execution

Don’t miss this opportunity to view the recording of this recently held webinar. When firms pursue higher performance in the electronic trading execution technology they use, they must consider the exchange and trading venue landscape as the context for their approach. Their approach can be accomplished in-house or with support from providers, which can be…

Recorded Webinar: Voice recording for communications surveillance under MIFID II/MAR

Don’t miss this opportunity to view the recording of this recently held webinar. To date, the industry’s regulatory compliance focus for upcoming European MiFID II and Market Abuse Regulation (MAR) has been on issues including the structure of trading facilities, systematic internalisation, governance, best execution and time-stamping. MiFID II and MAR also contain provisions, however,…

Recorded Webinar: Trade/Order Tracking & Time-Stamping for Regulatory Compliance

Don’t miss this opportunity to view the recording of this recently held webinar. At the beginning of 2018 in Europe, and before the end of 2017 in the US, new time-stamping requirements will come into force, under European MiFID II regulation and the US SEC’s Consolidated Audit Trail (CAT) project. The RTS 25 provision of…