Tag: CFTC
RegTech becomes non-negotiable for US investment managers
US investment managers are being warned that 2026's regulatory landscape is not lighter, just sharper, as the SEC narrows its focus to fraud and...
Insider trading risk lurks in prediction markets’ rise
Prediction markets have rapidly become one of the most discussed developments in financial services, opening new avenues for participation while introducing fresh compliance and...
UBS hit with $8m CFTC fine over AML monitoring gaps
UBS Financial Services has been ordered by the Commodity Futures Trading Commission to pay an $8m civil monetary penalty over failures to properly supervise...
Eventus wins surveillance mandate at fast-growing Rothera
Rothera, the US-based event contract exchange regulated by the CFTC, has gone live with the Validus platform from trade surveillance specialist Eventus to monitor...
Eventus surveillance backs Novig’s CFTC debut
Novig, a US-based sports prediction market, has deployed the Eventus Validus platform as its trade surveillance solution, working with Eventus, a provider of trade...
Prediction markets expose firms’ compliance blind spots
For most financial services firms, the regulatory debate around prediction markets has centred on classification: do these instruments fall under securities law, commodities regulation,...
Prediction markets are now a compliance problem
Something significant happened at NYU Law School on 31 March 2026. David I. Miller, the newly appointed director of enforcement at the Commodity Futures...
Closing the gap: Theta Lake’s reconciliation tools
Regulatory compliance in financial services is built on a single, non-negotiable principle: the completeness and accuracy of records. Across global markets, a dense patchwork...
US prediction markets: Risks and regulation ahead
If 2025 marked the breakout year for prediction markets, 2026 is shaping up to be the year of regulatory reckoning. What began as a...
CFTC updates no-action relief on payment stablecoins
The Commodity Futures Trading Commission (CFTC) has reissued CFTC Staff Letter 25-40, introducing a targeted but significant update to the definition of a “payment...
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