Published 17-10-2024
Keywords
- AI,
- Financial Market Surveillance
This work is licensed under a Creative Commons Attribution-NonCommercial-ShareAlike 4.0 International License.
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Abstract
The efficient operation of modern financial markets hinges critically upon the ability of trading venues to maintain a fair and orderly trading environment. The regulation and surveillance of market activities, together with a sufficient level of enforcement, play an important role towards this objective. Surveillance is the monitoring function that enforces market rules and regulatory laws. It seeks to ensure transparency in market transactions, thereby preventing errors such as fraud that might destabilize the market and protect against market manipulation and other adverse trading strategies.
The regulatory framework is diverse and includes various acts and directives. Throughout history, the powerful have always used espionage and surveillance to protect themselves and their power and to undermine those who might potentially limit that power. The same can be said of those who invest money. Trust has provided a basis for the operation of financial systems. However, the increasing importance of information has, at the same time, raised the importance of transparency.
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