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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) Aug 16, 2018

The FCA Turns Up the Heat on Market Abuse

The UK’s Financial Conduct Authority (FCA) appears to be ramping up its efforts around the enforcement of the EU Market Abuse Regulation...

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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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