Big Data and NEAT: Compliance Considerations for Trading Practices

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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