Market Surveillance Feb 11, 2021

Market Surveillance Automation: Delay No More

Investment firms no longer have a choice: they must automate market surveillance workflows to mitigate risk. While it’s understandable that many firms...

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Market Abuse (MAR) Dec 17, 2020

XLoD Debate: Buy-Side Surveillance

On November 18, Scott Burke, Regulatory Product Manager at RIMES, took part in a debate on market surveillance, which was convened as...

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Market Abuse (MAR) Dec 2, 2020

Asian Regulators Crack Down on Market Abuse

History has shown that it can take a while for regulators to enforce market abuse rules. Even when a new law is...

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Market Abuse (MAR) Nov 12, 2020

Market Surveillance in the Age of COVID: A Regulator’s View

Thanks to COVID-19, the financial services industry has had to adjust to a new normal marked by distributed working models and turbulent...

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