- Effects of Venture Capital, R&D, and Technology on IPO Underpricing: Evidence from China
Report · 1 October 2021
Research Question: This study is a preliminary attempt to investigate the effects of technology and R&D expenditure and the moderating effect of venture capital through the interaction of technology…
- Disruptive Technology and Securities Regulation
Report · 14 January 2015
Nowhere has disruptive technology had a more profound impact than in financial services — and yet nowhere more do academics and policymakers lack a coherent theory of the phenomenon, much less a…
- Regulation of Algorithmic Trading: Frameworks for Human Supervision and Direct Market Interventions
Report · 9 February 2021
This paper identifies the regulatory gaps that currently exist in algorithmic trading and provides a framework for machine learning regulation in finance. It compares the regulation of algorithmic…
- Artificial Intelligence in Capital Markets: A Legal Scholar’s Response to the IOSCO Consultation Report
Report · 1 October 2025
This response to IOSCO’s 2025 Consultation Report on Artificial Intelligence in Capital Markets offers a detailed legal and interdisciplinary analysis of the regulatory, supervisory, and governance…
- Machine Learning, Market Manipulation and Collusion on Capital Markets: Why the "Black Box" Matters
Report · 20 August 2025
This Article offers a novel perspective on the implications of increasingly autonomous and “black box” algorithms, within the ramification of algorithmic trading, for the integrity of capital…
- AI-driven Market Manipulation and Limits of the EU law enforcement regime to credible deterrence
Report · 6 August 2025
in many other sectors of EU economies, ‘Artificial Intelligence’ (AI) has entered the scene of the financial services industry as a game-changer. A growing number of investment firms have been…
- The Regulation of AI Trading from an AI Life Cycle Perspective
Report · 5 July 2025
mong innovative technologies, Artificial Intelligence (AI) is often avouched as the game changer in the provision of financial services. In this regard, the algorithmic trading domain is no…
- Access to Finance for Artificial Intelligence Regulation in the Financial Services Industry
Report · 19 June 2025
This paper discusses the design of the legal and regulatory framework for using artificial intelligence (AI) in financial services markets to enhance access to finance (financial inclusion). The…
- The Algorithmic Future of EU Market Conduct Supervision: A Preliminary Check
Report · 21 May 2025
Technological innovation, such as advancements in Artificial Intelligence (AI) within the ramification of algorithmic trading, has been shaping the organisation and operation of global capital…
- Does the 'Wirecard AG' Case Address FinTech Crises?
14 May 2025
This paper analyzes the Wirecard AG case from a digital finance perspective. The relatively low pace of digital transformation of financial supervisors and the high speed of advancements in…
- FCA publishes Decision Notice against former Worldspreads CEO for market misconduct
News · 2 July 2020
The Financial Conduct Authority (FCA) has issued a Decision Notice against Conor Foley, the former CEO of Worldspreads, imposing a £658,900 fine and a permanent ban from the financial services…
- Surveillance: The FCA's expectations and toolkits
Speech · 6 October 2014
In this speech, Patrick Spens, Head of Market Monitoring at the Financial Conduct Authority emphasizes that tackling market abuse is a core priority requiring strong collaboration between regulators…
- FCA Enforcement and the Wholesale Markets
Speech · 26 November 2014
In November 2014, Tracey McDermott, then-Director of Enforcement at the FCA, delivered a keynote address at the FX Week Europe conference emphasizing the urgent need to restore trust and integrity to…
- Simon M Potter: The role of best practices in supporting market integrity and effectiveness
Speech · 11 September 2016
In this 2016 address to primary dealers, Simon M. Potter, then-Executive Vice President of the New York Fed, details the critical role that industry-led "best practices" play in maintaining the…
- Resilience and innovation in times of change
Speech · 6 October 2022
In her keynote address at the Securities and Futures Commission (SFC) opening of the Asia Securities Industry and Financial Markets Association (ASIFMA) Tech and Operations Conference, Ms Julia Leung…
- AI for Risk-Based Supervision: Another Nice to Have Tool or a Game-Changer
Report · 27 February 2025
AI represents a potential paradigm shift for financial sector supervision, moving beyond mere automation to enable previously impossible processes. This paper examines AI's impact on risk-based…
- Beyond Pilots and Sandboxes: Regulatory Innovation through SupTech Case Studies and Leading Practices
Report, News · 1 June 2025
New white paper examines suptech implementation beyond pilots and sandboxes. The Alliance for Innovative Regulation and Amazon Web Services have published this paper exploring how regulators can…
- ECB Securities issue statistics
Open Data
CSEC, derived from CSDB, provides key stats on debt securities and listed shares in the euro area and non-euro EU states. It includes data on outstanding stocks, gross issues, redemptions, net…
- Indonesia's Financial Services Authority (OJK) launches new suptech tool to enhance capital market surveillance
News · 25 February 2025
The OJK has introduced OSIDA PMDK, a new data analytics application designed to improve capital market monitoring and investor protection. The system will initially focus on investor profiles and…
- Market Analysis Platform (MAP)
Solution
Market Analysis Platform (MAP) is a data repository and analytics system which collects post-trade data from exchanges, alternative trading systems (ATSs) and dealers/brokers in order to facilitate…
- ML for Fraud Likelihood
Solution
Through a series of steps, the SEC is able to draw on machine learning applications to identify market misconduct and predict the likelihood of fraud. DERA – the Division of Economic and Risk…
- Regulatory and Supervisory Technology Research: A Bibliometric Analysis
Report · 10 January 2025
A recent bibliometric analysis of suptech and regtech highlights the rapid growth in research over the past decade. Key themes like compliance, regulation, and finance dominate, with notable…
- Research proposes AI-driven surveillance framework to address India's Offer for Sale (OFS) information leakage
14 August 2025
Research analysing 39 OFS cases on India's National Stock Exchange (2012-2023) revealed concerning floor price information leakage, particularly affecting public sector undertaking companies. The…
- Nasdaq to boost market surveillance with generative artificial intelligence (GenAI).
15 May 2024
Exchange operator Nasdaq is integrating a GenAI-powered feature into its market surveillance technology. The operator says the feature will boost the quality, speed, and efficiency of market abuse…
Showing 73–96 of 99 resources.