Apr 14, 2023 Trade Surveillance 2023 Report on FINRA's Examination and Risk Monitoring Program Executive Summary
Feb 1, 2023 Trade Surveillance TradingHub's Review of ASIC Report 741 ASIC’s Report 741 offers a broad survey about the conduct risks in Australian wholesale fixed...
Dec 7, 2022 Trade Surveillance Part One: Why Fixed Income is Different TradingHub recognises that trade surveillance in fixed income markets presents unique challenges....
Dec 7, 2022 Trade Surveillance Part Two: The Surveillance Problem In the first article in this series, we explored the difficulties of fixed income trade...
Dec 7, 2022 Trade Surveillance Part Three: The Challenge of Cross-Product Surveillance In Part One of our Challenges of Fixed Income Surveillance Thought Leadership series, we discussed...
Dec 6, 2022 Trade Surveillance TradingHub's FCA Market Watch 69 Review The FCA’s Market Watch 69 newsletter presents a wide-ranging discussion aboutfirms’ arrangements...
Sep 7, 2022 Anti-money laundering Money Laundering in Financial Markets Markets money laundering is a rapidly emerging risk for financial institutions. It refers to money...
Sep 7, 2022 Trade Surveillance The Challenges of Legacy Rules-Based Systems Conventional trade surveillance solutions employ static rules or conditions. They apply these rules...
