All posts by Rick Lane

CEO

Recently, our CEO Rick Lane sat down with NFA President and CEO Tom Sexton at our Tech Tap to learn more about NFA and how the organization deals with a variety of issues we all face. In Keeping Score of Trade Compliance: A Regulator’s Perspective from Tom Sexton, NFA CEO, Part 1, they discussed the history of the organization, its key functions and specific technology initiatives. For part two of their talk, which covers how NFA tries to stay ahead of the technology curve, Tom’s professional background and more, read on. 

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Just over a year ago, we acquired AI surveillance startup Neurensic, which led to our TT® Score trade surveillance and compliance offering. TT Score helps our users stay fully compliant with market regulations by leveraging machine learning to identify trading behavior that might prompt regulatory inquiries. The move into technology for trade surveillance and regulatory compliance has been a fascinating one for us—and it has provided us with an even greater appreciation for regulatory organizations such as NFA.

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“But even the longest day wears to sunset.”

–  Marion Zimmer Bradley

Over the next year or so, we will officially begin sunsetting the X_TRADER® platform. In case you haven’t heard this term before in relation to software, it means a gradual phasing out of a platform, with specific milestones where development, services, and support end. In the case of X_TRADER, the first of these milestones will be as soon as Q4 of this year, and the last will be in early 2020, when support will end across all aspects of the platform.

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At the start of last year’s FIA Conference in Boca Raton, I wrote a blog comparing the TT platform to my twin toddlers (all three turned two that year). With another year and many milestones under their belt, my now 3 ½ year old children seem to have become…actual people. Whereas the first couple years seemed to be packed with equal parts novelty and anxiety, now life is really all about getting used to the new normal: that we have two more roommates living with us.

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As the curtain rises on yet another FIA Expo in TT’s hometown of Chicago, I’m reflecting back on everything that’s transpired since last year’s event. As seems to be the case every Expo, a lot has happened in our little corner of the world at TT.

Most recently, we announced the acquisition of Neurensic, a Chicago start-up that developed a trade surveillance system based on machine learning. The technology, which has its roots in artificial intelligence, is already being used by a handful of our customers. In the most simple terms, it identifies and flags trading activities or patterns that may be viewed as problematic by regulators. It does so before they become an issue, which is something no other trade surveillance product can do today.

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