Practical challenges of trade & comms surveillance

USA

In this webinar, Red Deer 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 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 will cover:  

  • Regulatory update
  • Practical case studies across equity, fixed income & more esoteric strategies
  • Keeping pace with e-Comms surveillance – a best practice approach
  • The answer to efficient case management – cumulative flow
  • Technology’s impact on surveillance processes

 

Kindly sponsored by: