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.
- The Cost of Compliance: Understanding and Leveraging Resources
- Standards of Business Conduct: Personal Trading and Beyond
- Performance Advertising and Fees disclosures: Best practices for SEC and GIPS compliance
Recent ComplianceCast™ Minutes
- New SEC proposed rule: Business Continuity and Transition plans
- SEC Outreach Panel Recap
- How to Improve Your Forensic Testing
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