ComplianceCast™: The Compliance Professionals’ Guide to Effective Trade Desk Monitoring

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 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 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.

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CSS frequently publishes blog posts which are written by our team from their observations in the field, at conferences and through experiences with compliance professionals. These posts are designed to further knowledge and share industry best practices. Topics run the gamut, including Form ADV, cybersecurity, MiFID II, position limit monitoring, technology challenges and more. Complete and submit the brief form below to receive notifications when we publish new content.

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