Trade Surveillance Reinvented: Compliance in the Digital Age

ABOUT THIS WEBINAR
Discover how to prevent a $384 million error like JP Morgan's by understanding and implementing robust trade surveillance strategies. This webinar is your roadmap to compliance excellence and market integrity.

In an era where regulatory scrutiny is intensifying, the absence of a robust trade surveillance system can spell disaster. It's not just about compliance; it's about protecting your firm from reputational damage, financial penalties, and operational risks that can undermine trust and stability in the financial markets.

We'll dive into essential strategies to elevate your trading operations, covering topics such as:

1. Employing advanced analytics for in-depth trading insights.
2. Implementing real-time monitoring to detect irregularities swiftly.
3. Regularly updating compliance strategies to stay regulatory-compliant.
4. Ensuring adherence to regulations for maintaining market integrity.
5. Gaining a competitive advantage by prioritizing compliance efforts.

Act now—register to transform your surveillance practices and protect your firm from costly non-compliance.
AGENDA
  • Trade Surveillance Landscape: Key Elements You Can't Ignore
  • Potential Risks and Challenges: Surveillance System Development
  • Elevating Surveillance Capabilities: Regulatory Requirements and Continuous Program Evaluation for Trade Surveillance
  • Corrective Measures: Addressing Non-compliance with FINRA Regulations
  • Tech Power-Up: Leveraging Technology to Supercharge Surveillance
  • Best Practices Blueprint: Crafting Superior Surveillance Strategies for Impactful Outcomes
ADDITIONAL INFO
  • Duration: 30 minutes
  • Price: Free
  • Language: English
  • Who can attend? Everyone
  • Dial-in available? (listen only): Not available.
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