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Market Surveillance Nov 5, 2018

RegFocus Market Suveillance enters Opimas’ Trade Surveillance Shortlisting

Market abuse surveillance requirements vary significantly by type of market participant, applicable regulations, and the trading strategies employed. To assist with trade...

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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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