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The US Securities and Exchange Commission has seen a spike in whistleblowing, complaints and referrals and opened a lot of fresh inquiries in the last 10 weeks. The requirement to work remotely…
Radar explores the emergence of alternative data on the buyside, how vendors are approaching fund managers in a data “gold rush” and details any latent operational risks.
Radar sits down with a mix of practitioners, ex-regulators and visionary vendors to analyze the potential to turn trade and transaction analytics and surveillance on its head by devising the perfect system to assist the busy monitoring experts in the fast-changing capital markets.
Radar’s team was lucky to get time with Susan Schroeder, Executive Vice President of Enforcement at FINRA, as the first in its series of Women in Finance.
Following a series of Market Watch publications at the close of 2018, Julia Hoggett delivered a cautionary speech on February 13th at the AFME MAR event. Radar spoke to industry experts about the FCA’s approach to MAR implementation and how firms can evolve to ensure they cover all bases within the ever-changing risk landscape.
This article focuses on examples of what organisations have been doing to demonstrate implementation of reasonable prevention procedures, includes analysis from tax experts regarding the ongoing review of the UK tax compliance framework and discusses HMRC’s CCO ‘self-reporting’ mechanism.
Radar analyzes cutting-edge, effective CRX scenarios that have been applied to real data sets, to keep Behavox clients up to date with current market practice.
Classic behavioral and trading trails that make market abusers easy prey for today’s technologically-empowered law enforcers.
The gains made in the financial services sector from the application of various forms of appropriate artificial intelligence are already making a difference. The challenge now is using these advances to achieve holistic analytics that combine a mixture of data types and involve both structured and unstructured data.
Radar takes an in-depth look at how the battle is shaping up in the main territories, and how firms are navigating the fragmented global enforcement picture.
Despite the short-term perception of cost savings in running down the life of existing systems, the upside from smart investment in tech will swiftly outstrip these costs and drive profit.
Singapore has jailed its second individual for market manipulation in a year, signaling that the need for better compliance defenses has never been greater.
Your business won’t survive without people analytics, say the experts, so what are you waiting for?
With a reputation for openness and support, Singapore’s financial regulator is the darling of the fintech world. Radar tracked down the top data scientist at the Monetary Authority of Singapore to find out how it is tackling the big questions that surround AI.
Behavox head of regulatory intelligence, Alex Viall, gives his take on what Market Watch 56 means for firms in terms of future supervision, and enforcement.
Financial crime experts Glenn Perachio, Richard Palmer and Tom Goodman from the EY trader surveillance team join Radar for a fireside chat to talk about their work and the forces shaping the compliance technology market.