Trade Surveillance Reinvented: Compliance in the Digital Age
Recorded
Thursday, April 11, 2024 · 11:00 a.m.
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
When:
Thursday, April 11, 2024 · 11:00 a.m.
Eastern Time (US & Canada)
Transforming business needs into robust technological solutions.
Ionixx Technologies designs and develops custom software for FinTech, HealthTech, and Capital Markets, leveraging advanced technology to achieve goals of productivity, scalability, and security for our clients.
Muniraj Muniappan stands at the forefront of capital market innovations, recognized for his pivotal role in modernizing trading processes and lifecycle automation. His strategic finesse in regulatory compliance, coupled with a flair for developing...
Maanas Samant is a Physician, Clinical Product Expert, and HealthTech Advisor. He has over a decade of experience in hospitals, policy, payments, and health tech. Maanas consults for both Fortune 500 companies and Institutional Investors. He...
Ionixx Technologies specializes in crafting custom software solutions that drive innovation and efficiency. Our webinars offer expert insights into leveraging technology trends in various industries. Join us to stay ahead with actionable strategies that empower your business in the digital age.