Practical approaches to overcoming trade & comms surveillance challenges

AIMA and Red Deer invite you to join our London Fund Manager briefing to be held on Tuesday 18 June, 2019.

During this interactive session, we will examine the challenges facing compliance professionals in managing trade and communications surveillance across asset classes in an increasingly complex regulatory landscape.

The goal of the session is to collaboratively refine 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 will cover:  

• Regulatory recap
• Practical case studies across equity, fixed income & more esoteric strategies
• Keeping pace with e-Comms surveillance
• Understanding the benefits of a holistic approach – tying policy to process
• Technology’s impact on surveillance processes

Presented by:
Henry Price, CEO, Red Deer
Alistair Downes, Head of Product, Red Deer
Joel Burnette, Solutions Consultant, Red Deer

This session will be of interest to Compliance professionals: mid to senior management level and for mid-senior Legal, Risk and Operations.

Please note this event is open to representatives of manager firms only.

Registration for this session is now full. To be added to the wait list, please contact the Events Team.