Upcoming ComplianceCasts™

The Compliance Professionals Guide to Effective Trade Desk Monitoring

Broadcast Date: Tuesday, Aug 28 at 2:00pm ET

Global regulators continue to enhance their ability to monitor the activities of market participants through a combination of new rules, filing requirements, and upgrades to surveillance technologies. As a result, many market participants, including both buy- and sell-side firms, need to re-assess how they currently monitor the trading desk, and whether new policies and procedures are needed to effectively manage reputational risk and avoid costly fines. In this webinar, we will discuss how to design and develop post-trade compliance testing procedures to effectively address the following risks:

  • Failures to Obtain Best Execution
  • Failures to Monitor Side-by-Side Management Conflicts
  • Prohibited Transactions, Insider Trading and Market Abuse Detection

We will also discuss the recent SEC Best Execution Risk Alert, best practices for periodic post-trade testing, ongoing trade surveillance and annual reviews of trading policies and procedures.

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ComplianceCasts™ are the property of Ascendant Compliance Management, Inc. (“Ascendant”) and/or may not be reproduced or redistributed in any form without the express written consent of Ascendant. ComplianceCasts™ are provided for educational purposes only, and are not intended to be and cannot be construed to be financial or legal advice. Ascendant is not a law firm and does not provide legal advice. Adherence to any recommendation does not imply compliance with any applicable law, regulation, or guidance. All facts and matters stated herein should be independently verified.

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