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Compliance screencasts

Compliance screencasts

Welcome to our educational tour

As the regulatory framework is changing and our Exchange Participants are required to adopt these changes, we would like to support you during this process.

We have produced screencasts that deal with various topics that impact your business, such as the common trading rules and the legal framework for the Eurex Exchanges. As our sector is becoming increasingly complex the sessions also address more specific topics like Eurex Clearing’s Default Management Process, the member admission process and the German HFT directive.

We recommend that you listen to them in the following order, as they cover the topics from general to specific. But please feel free to choose the screencasts according to your interest. Every session works as well independently.

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Screencast 1: Supervision of Eurex Deutschland - Karsten Hiestermann

Karsten Hiestermann, Director at the Exchange Supervisory Authority of the State of Hesse, which is the regulator of Eurex Deutschland explains in his presentation how trading at Eurex Exchange is supervised.

 

Screencast 2: Trading and surveillance at Eurex Exchange - Dr. Rolf Deml

Dr. Rolf Deml works in the Executive Office at Trading Surveillance Eurex Zurich. His agenda covers amongst others monitoring that trade execution is compliant with the rules and regulations of the Exchange. He touches on topics such as:

  • cross trades / pre-arranged trades
  • trading surveillance / accounting
  • market abuse & misleading the market
 

Screencast 3: Trading safeguards at Eurex Exchange - Market Supervision

Market Supervision is operating the well-known Eurex-hotline, also called Derivatives Trading Operations. This hotline supports and consults all Eurex clients in terms of trading-related issues and provides technical assistance when a client is not able to delete or change its orders or quotes. They deliver useful information on trading-related topics like price reasonability checks, maximum order quantity, volatility interruption and the market order matching range as part of the mistrade rule. Eurex Exchange has developed these safeguards in order to maintain market integrity and ensure continuous trading in times of ever increasing algorithmic trading.

 

Screencast 4: Eurex Clearing’s Default Management Process - Hannes Hauenschild

Hannes Hauenschild, Expert on Default Management at Eurex Clearing, guides you through the aspects of Eurex Clearing’s multilevel safety system in case of a member default. Starting with an explanation of the lines of defense, he explains the steps of the process, including the different Liquidations Groups.

 

Screencast 5: Implementation of the High Frequency Trading Act - Dr. Randolf Roth

Dr. Randolf Roth, former Head of Market Structure at Eurex Exchange, is an expert in high-frequency trading. In his screencast, he talks about the German HFT act that came into force in May 2013 - from defining the term high-frequency trading to the requirements of a BaFin license. He also clarifies the purpose and implications of our Order to Trade Ratio and Excessive System Usage Fee.

 

Screencast 6: Member/vendor services & admission/trading - Tim Eisenbeis

Tim Eisenbeis works in the Member Service Admission Team at Eurex Exchange. The department is the first level support for Eurex Trading Participants with regards to the legal admission process and the entire membership life cycle. He gives you an overview of compliance-relevant topics and requirements especially during the admission process.

 
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Thank you very much for your attention. For further questions please do not hesitate to contact me.

Markus-Alexander Flesch

Eurex Global Derivatives AG
Sales

Theilerstrasse 1a
6300 Zug

T +41-43-430-71 21

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