Archive 2023

Date Title Author Category
16 Oct. Managing Off-Channel Communications with Policy, Accountability and New Technologies » Chris DeNigris Holistic Surveillance
3 Oct. The Hong Kong Securities and Futures Commission is Actively Going After Penny-Stock Manipulators » Paul Cottee Regulations
14 Aug. ESMA Review of Pre-Hedging » Paul Cottee Regulations
24 July The FCA›s Consumer Duty: A "Catch-All" with Flaws » Ozzie Berrios Regulations
9 June When It Comes to Market Abuse, the FCA is Casting a Wider Net » Paul Cottee Regulations
1 June FINRA Conference 2023: Well-Rounded, Well-Attended and Worthwhile » Ozzie Berrios Regulations
23 May Off-Channel Communications and Mobile Surveillance Policies » Chris DeNigris Holistic Surveillance
19 Apr. False Alerts out of Control? Time for a New Approach. » Nitin Vats Holistic Surveillance
22 Mar. SEBI Calls for Greater Surveillance and Supervision » Paul Cottee Regulations
20 Feb. Defining and Improving Surveillance Accuracy » Paul Cottee Holistic Surveillance
15 Feb. ASIC Enforcement Update: TWPI or Not? Incorrectly-Flagged Trades Will Cost You » Paul Cottee Regulations
10 Feb. The Year in Compliance; What Happened and What Lies Ahead » Osvaldo Berrios Regulations