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Market Surveillance Oct 17, 2018

Ensuring Regulatory Compliance Includes Detecting Questionable Order Activity

“Spoofing” is a trading practice involving the placement of non-bona fide orders and subsequent cancellation for the purpose of manipulating market conditions....

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Market Abuse (MAR) Jul 12, 2018

Market & Trade Surveillance: Technology Trends

On June 13, RIMES invited industry experts, regulators and financial sector firms to New York to discuss the latest trends in compliance...

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Market Surveillance Jul 12, 2018

RIMES Compliance Panel Talks Market Surveillance

On June 13, RIMES convened an expert panel of speakers in New York to discuss topics around market surveillance compliance obligations and...

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