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Regulatory monitoring, violation tracking, and limit surveillance.
Open Violations
3
Pending Reviews
12
Regulatory Filings Due
2
Days Since Last Breach
47
Current compliance issues requiring attention
Position limit exceeded on EUR/USD desk
Large trader reporting threshold at 92%
Unusual volume detected in USD/CHF
Upcoming filing deadlines
| Date | Filing | Jurisdiction | Status |
|---|---|---|---|
| Mar 7 | MiFID II RTS 25 Transaction Report | EU | Pending |
| Mar 15 | Large Trader Report (Form 13H) | US | In Progress |
| Mar 31 | EMIR Trade Repository Report | EU | Pending |
| Apr 1 | Basel III Liquidity Coverage Ratio | Global | Scheduled |
| Apr 15 | Dodd-Frank Swap Data Report | US | Scheduled |
Current usage against regulatory limits
Flagged trades under compliance review
| Trade ID | Flag Reason | Trader | Time | Status |
|---|---|---|---|---|
| TRD-88421 | Wash trade pattern detected | M. Chen | 09:14 AM | Under Review |
| TRD-88397 | Spoofing alert — rapid cancel/replace | J. Park | 10:32 AM | Under Review |
| TRD-88264 | Front-running suspicion flagged | R. Singh | Yesterday | Cleared |
| TRD-88190 | Layering pattern on bid side | A. Novak | Yesterday | Cleared |