Thought Leadership

Book “Regtech, Suptech and Beyond” Looks at Technological Solutions for Regulatory Oversight

Book “Regtech, Suptech and Beyond” Looks at Technological Solutions for Regulatory Oversight

There is a new book out from Risk Books titled “Regtech, Suptech and Beyond.”

The book is a compendium of chapters addressing technology and innovation in regulatory and supervisory oversight in financial services. Different authors explore the emerging best practices in regulatory oversight and financial services that leverage technological solutions.

SEC Special Counsel Laura Harper Powell collaborated with the former President of ICE Trade Vault and current President and Founder of CoinReg Tech Bruce Tupper on a chapter in the book focusing on CFTC regtech implications for virtual currency trading.

Analysis: What Can We Learn From the DOJ’s Latest Spoofing Conviction?

Analysis: What Can We Learn From the DOJ’s Latest Spoofing Conviction?

“I know how to game this stuff.” “One can definitely manipulate if you’re aggressive.” “If you spoof this it really moves.” These excerpts from online chats among traders and hedge fund managers more than a decade ago played a key role in the Justice Department’s successful prosecution of two Wall Street traders in the latest trial to take on ”spoofing,” a form of market manipulation that was criminalized in the 2010 Dodd-Frank Act.

Unsung Heroes: OCC’s Dan Busby

Unsung Heroes: OCC’s Dan Busby

Dan Busby has his hands full as head of operations at OCC, but he insists he is having fun. He and his team are responsible for the back office operations for the world’s biggest equity derivatives clearing organization.

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