AIMA Webinar – Practical Challenges of Trade & Comms Surveillance
September 23, 2019 Thought-leadership
We recently held a webinar in association with AIMA examining the challenges facing compliance professionals in managing trade and communications surveillance across asset classes in an increasingly complex regulatory landscape.
The goal of the webinar is to demonstrate best practice around trade and communications surveillance to ensure compliance professionals are confident in their ability to protect their firm against market abuse and misconduct. In addition, the session will provide practical examples of efficiencies that can be gained by leveraging technology across their surveillance processes.
This session cover:
- US & UK regulatory overview
- How to design a trade & comms surveillance process
- Case study – practical considerations
- Comms data in the surveillance process
- Benefits of a holistic approach