Big Data and NEAT: Compliance Considerations for Trading Practices
CCO’s are increasingly tasked with ensuring that trading activity is reviewed for conflicts of interest and applicable regulatory requirements.
- Overview of Best Execution – Assessment to Deployment
- Trade Errors: Definitions, Procedures, and Best Practices
- Soft Dollars: Understanding Disclosures, Testing, and Eligibility
- Understanding Disclosure Obligations: All About Incentives and Conflicts
- Forensic Testing Practices to Analyze Patterns and Identify Potential Issues
- Trade Blotter Analytics and Trade Desk Surveillance Processes
- Demonstration of the Ascendant Compliance Manager – Trade Blotter Manager
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