Surveillance is high on the agenda for most financial services’ compliance teams. Despite extensive work done in this space, many firms still find their surveillance processes insufficient compared to the...
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Chapter 1: Artificial Intelligence & Surveillance Surveillance is high on the agenda for most financial services’ compliance teams. Despite extensive work done in this space, many firms still find their...
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In recent years, there has been a global shift away from the established pattern of business communications. The Covid pandemic, and the continuing uncertainty it has created, has accelerated a...
Read MoreIn recent years, there has been a global shift away from the established pattern of business communications. The Covid pandemic, and the continuing uncertainty it has created, has accelerated a...
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New Technology to Address Compliance-by-Policy Inadequacies In recent years, the evolutionary pace of communications technology increased rapidly. Video conferencing, which historically required specialised equipment, is now commonplace and available to...
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The broker community and asset managers let out a collective sigh of relief last week as the Securities and Exchange Commission (SEC) issued a number of “no-action” letters to address clashes between the US government and the upcoming MiFID II regulations.
Predictive analytics is a branch of advanced analytics wherein a variety of different types of software tools can be used to make predictions about future events.
A new report from GreySpark Partners, a leading global capital markets consulting firm, assesses nine technology vendor solutions that target the buyside multi-asset order and execution management system (OEMS) space.
Exploring why and how buyside firms must appraise their current outlay of trade and transaction order and execution management systems used to generate regulatory reporting data in the EU as well as the technology debt associated with any legacy systems.
Following a preliminary Pre-Trade Risk review done by GreySpark, this leading Australasian investment bank required GreySpark to perform the actual assessment for its entirety of Electronic Execution Systems (EES).
Australia’s OTC derivative reforms provide a framework for the regulation of OTC derivatives reporting, central clearing and trade execution and affect almost all participants in the financial services sector who...
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This article was originally published in Bloomberg Brief's Economics Asia on Aug. 7, 2014. Dark Pool Trading Increasing Amid Regulatory Concerns There is still a great deal of secrecy surrounding dark...
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