Rethinking Your Trade Surveillance Approach to Avoid Common Pitfalls
Originally published in the SIFMA Thought Leader Library By Chris Montagnino, Director of Regulatory Affairs, Eventus A scary thought: you decide to engage a surveillance vendor, implement a set of “off-the-shelf” procedures, calibrate accordingly, and some time later you get an enforcement action for failing to properly monitor trading activity. How could that happen? Perhaps …
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