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Auditing the Trade Surveillance Ecosystem

Trade surveillance encapsulates the processes and procedures that help financial institutions detect and prevent trading rule violations. While various regulations push for increased scrutiny and security, MAR and MiFID II notably have far-reaching implications for trade behavior, post-trade surveillance and pre-trade risk controls checks.

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Integrating Cyber Security into the CI/CD Pipeline

One of the most difficult challenges companies face today is how to be more flexible and adaptive in a dynamic business environment. ‘Speed to market’ demands identifying and capitalizing on opportunities as soon as they appear and has become a major driver for the adoption of DevOps in the financial market industry. These changes have paved the way for new design approaches such as Continuous Integration and Continuous Delivery (CI/CD) and Infrastructure as Code (IaC) based on automated configuration and provisioning.

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Understanding Research Unbundling and Why The GDPR Should Not Be Forgotten – Part 1

The first article in a two-part series,  Johnson Oni outlines how MiFID II’s research unbundling mandates pose significant operational and tactical challenges to sellside institutions. Part 2, to be published next week, will explore how the process of becoming MiFID II research unbundling compliant may, in fact, breach the upcoming General Data Protection Regulation (GDPR).

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