In each monthly edition of Regulatory Roundup, Tony Sio, Head of Regulatory Strategy and Innovation at Nasdaq’s Financial Technology division, shares his insights on the latest regulatory news and trends around the world.
Tony Sio, Nasdaq's Head of Regulatory Strategy and Innovation, and the author of Regulatory RoundupThe ever-changing regulatory environment coupled with ongoing advances in technology produces challenges and opportunities for compliance professionals. Effectively navigating that landscape is key to protecting the markets whilst still fueling innovation.
We sat down with Tony Sio on Nasdaq Uncovered to reflect on some pivotal moments from the year, emerging trends, and the importance of innovation and collaboration amongst all market participants.
June 2026: Short and Distort: What a Recent Conviction Means for Market Surveillance
April 2026: Unusually Well-Timed Prediction Market Trading Meets the Eddie Murphy Rule
March 2026: Unregistered Investment Advice
February 2026: Regulatory Priorities for 2026
January 2026: Remisier Ramps, Retail Rallies and Regulatory Reprimands
October 2025: The Compliance Gap: Unmonitored Tools and Unintended Consequences
September 2025: Algorithmic Trading Controls: Best Practices and Two Landmark Cases
August 2025: A Legacy of Integrity: The CFTC's Evolution in Market Surveillance
July 2025: Selective Gains, Collective Losses: The Cost of Cherry Picking
June 2025: Price Support or Market Manipulation? Understanding Legal vs. Illegal Stock Interventions
May 2025: Beyond the 9-to-5: Navigating Extended Hours Trading
April 2025: From Elections to Sports—The Dynamics of Decentralized Prediction Markets
March 2025: 2025 IOSCO Review Assesses Market Surveillance Landscape
January 2025: The Fraud and Market Manipulation Behind the Crypto Bank-Run
2024 Recap: A Look Back on the 2024 Regulatory Landscape and the Lessons We’ve Learned
November 2024: The Union of Hacking and Market Manipulation
October 2024: Market Manipulation for Hire
September 2024: The Mechanics of Cross-Market Manipulation and Lessons from a Real-World Case
August 2024: Kitchen Renovations and Market Manipulations
July 2024: Navigating Front-Running
June 2024: The Power of Whistleblowing in Safeguarding Markets
May 2024: Spoofing the Front-Runners in Ethereum
April 2024: The Evolving Regulatory Landscape: An Overview of Recent Updates
February 2024: Social Media Propelling the Humble Pump-and-Dump Scheme
December 2023: Shining a Light on Shadow Trading
November 2023: Decoding Spoofing: A Closer Look at a Classic Market Manipulation Tactic
October 2023: The €150 Billion Tax Fraud Scheme and Implications for Market Participants
September 2023: Highlights from Nasdaq’s Surveillance Conference
August 2023: Regulatory Expectations of PTFs
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