Rethinking Your Trade Surveillance Approach to Avoid Common Pitfalls

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 you failed to monitor for particular behaviors, missed …

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