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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.
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.
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.
Radar explores the status quo, the regulatory challenges, the technology now, and what the future might look like for voice analytics.
Algorithmic trading is white hot in financial markets as the availability of more data combined with better technology allows firms to lean on machines to provide auto-execution as well as new investment decision-making capability.
Are your IT and compliance teams more Tom and Jerry than Batman and Robin? Radar plays mediator between the functions in a spot of corporate relationship therapy.
On a quarterly basis, Radar explores some of the most innovative and effective CRX scenarios that have been deployed in real data sets and are giving clients new insights and signals.
Radar gets the lowdown on how the voice market has changed in the last decade, and why it’s suddenly the best time to invest.
The era of lexicon-based trade and communications surveillance has moved past its peak as a powerful new wave of tools driven by machine learning and Big Data raise the bar for compliance and satisfy the increasingly stringent demands of regulators.