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Event contracts put adviser insider trading controls at risk
The rapid rise of prediction markets is creating a compliance challenge that many investment advisers may not yet be equipped to handle. As event-contract...
Why brokerage feeds can no longer catch insider trading
The alleged insider trading scheme involving two former Robinhood engineers has put a spotlight on a growing weakness in employee compliance programmes. Personal trading...
The retention myth tripping up FinTech compliance teams
Communications compliance is no longer defined by a single rulebook. It is shaped by a patchwork of regimes, each built for a different market,...
Regulation S-P deadline exposes gaps in manager compliance
US investment managers are discovering that 2026's regulatory landscape offers no shortcuts, even as the SEC signals a more targeted approach to enforcement. The...
Prediction markets expose new compliance blind spots
Prediction markets have rapidly become one of financial services' most discussed developments, opening new avenues for participation while introducing fresh compliance and conduct risks.
As...
UBS pays $8m after AML surveillance flaws go unfixed
UBS Financial Services has been ordered by the Commodity Futures Trading Commission (CFTC) to pay $8m over failures to properly oversee its anti-money laundering...
Rothera taps Eventus to police booming event contract trade
Rothera, the US-based CFTC regulated event contract market, has gone live with the Validus platform from trade surveillance and financial risk specialist Eventus to...
Novig taps Eventus to police new CFTC-regulated exchange
Eventus, a provider of trade surveillance and financial risk technology, has signed a deal with Novig, a sports prediction market operator in America, under...
US regulator targets red tape slowing FinTech firms
The Commodity Futures Trading Commission (CFTC), the US derivatives markets regulator, has launched a Request for Information aimed at identifying regulatory barriers that prevent...
Prediction markets and the compliance gap firms can’t ignore
For most financial services firms, the regulatory debate around prediction markets has centred on classification: do these products fall under securities law, commodities rules,...
