The third video in our series on trade surveillance processes and technologies. In this we take a look at what the future holds, in particular how artificial intelligence, machine learning and behavioural modelling approaches can help predict and prevent manipulative or abuse market activity.
As firms prepare for new regulation, capturing and storing transaction data will no longer be enough. Regulators will also want to see granular data on quotes, accurately timestamped. This will present substantial technological hurdles. What kind of cost-effective solutions cans firms put in place, and what are the benefits to be gained by taking a […]
Francesco Lo Conte, Managing Director of Esprow, discusses challenges that firms face around the testing of trading algorithms under MiFID II, and lays out some best practices in how to address those challenges.
The use of Artificial Intelligence is becoming increasingly widespread in the financial services industry. Whether it’s in the research and development of trading strategies, analysis and management of risk, or assisting with regulatory and compliance functions, there are a growing number of use cases for AI and machine learning. What are the implications of this […]
Escalating regulatory obligations demand that financial market participants take a smarter, more proactive approach to spotting abusive trading patterns, with many looking to explore the use of machine learning and artificial intelligence to automate monitoring and anticipate threats. In this article, Mike O’Hara and Chris Hall of The Realization Group hear from Certeco’s Nick Gordon, […]
Following the introduction of Market Abuse Regulation (MAR) across the EU in July 2016, most regulated firms will now have been through some kind of surveillance implementation program. But this is only the start. Once that initial implementation phase is complete, things don’t stop there. The markets, the regulations and the business are all constantly […]
Following the introduction of Market Abuse Regulation (MAR) across the EU in July 2016, most firms will now have been through some kind of surveillance implementation program, putting in place safeguards to ensure against abusive or manipulative behaviour.
The cross-asset nature of MiFID II will demand significant investment from the asset management and banking communities. In this article, Dan Barnes and Mike O’Hara of The Realization Group speak to Matthew Coupe of Barclays, James Baugh and Ashlin Kohler of Citigroup, Bob Fuller of Fixnetix, Glenn Poulter of Stratevolve and Ollie Cadman of Vela […]
The evolution of RegTech has brought a wave of new providers and systems to market to help financial institutions deal with the wide-ranging new regulations they face, such as MiFID II. In this article, Mike O’Hara and Joel Clark of The Realization Group hear from Mark Tantam of Deloitte, Adrian Shedden of Burges Salmon, Geraldine […]