Best Practices for a Holistic Monitoring Programme

November 05, 2019
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Preventing, detecting, and punishing market abuse is a high priority for regulators - whether acted in a personal or professional capacity. Ensuring you have a well-rounded and comprehensive compliance monitoring programme that covers critical areas and presents a full picture of activities is vital to mitigate risks.

Are you confident you have sufficient trade surveillance and employee monitoring safeguards in place to identify market abuse and reduce the risk of financial crimes to avoid civil and criminal sanctions?

Discussion Topics:

  • Recurring trade and employee surveillance and monitoring pitfalls for financial services firms
  • Examples of real-life risks resulting from inadequate surveillance policies and procedures 
  • Best practices to implement to avoid surveillance failings